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" ... from engaging in or continuing any conduct or practice in connection with any such activity, or in connection with the purchase or sale of any security... "
Decisions and Reports - 579. lappuse
autors: United States. Securities and Exchange Commission - 1944
Pilnskats - Par šo grāmatu

Compilation of Securities Laws Within the Jurisdiction of the Committee on ...

United States, United States. Congress. House. Committee on Interstate and Foreign Commerce - 1978 - 307 lapas
...dealer, or as an affiliated person or employee of any investment company, bank, or insurance comnany, or from engaging in or continuing any conduct or practice in connection with any such activity, or in connection with the purchase or sale of any security. (4) has willfully violated...
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Reports of the Tax Court of the United States, 70. sējums

United States. Tax Court - 1978
...affiliated person, salesman, or employee of any investment company, bank, or insurance company, or from engaging in or continuing any conduct or practice in connection with any such activity or in connection with the purchase or sale of any security; or felt that settlement...
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Agriculture, Rural Development, and Related Agencies ..., 46. sējums,3. daļa

United States. Congress. House. Committee on Appropriations. Subcommittee on Agriculture, Rural Development, and Related Agencies - 1978
...commission merchant, or floor broker, or as an affiliated person or employee of any of the foregoing, or from engaging in or continuing any conduct or practice in connection with any such activity or in connection with the purchase or sale of commodities or securities; or "(C)...
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FNMA-FHLMC Underwriting: Hearing Before the Subcommittee on Housing and ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Housing and Urban Affairs - 1979 - 570 lapas
...employee of any investment company, bank, savings and loan association or insurance company • or from engaging in or continuing any conduct or practice in connection with any snch actintiy : <iv) Identify all director committees or subcommittees. Set forth the functions...
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Commodity Futures Trading Commission Reauthorization: Hearings Before the ...

United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry. Subcommittee on Agricultural Research and General Legislation - 1982 - 748 lapas
...Commission or as an employee or other affiliated person of any Person acting in any such capacity, or" from engaging in or continuing any conduct or practice in connection with any such activity' or in connection with the purchase or sale of conncidities or securities? or (c)...
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Private Real Estate Syndications

Michael Constas, Richard D. Harroch - 1983 - 600 lapas
...director or employee of an investment company, bank, savings and loan association or insurance company, or from engaging in or continuing any conduct or practice in connection with any such activity or in connection with the purchase or sale of any security, or were you the subject...
Ierobežota priekšskatīšana - Par šo grāmatu

Ohio Savings and Loan Crisis and Collapse of ESM Government Securities, Inc ...

United States. Congress. House. Committee on Government Operations. Commerce, Consumer, and Monetary Affairs Subcommittee - 1985 - 1391 lapas
...-foregoing, or as an affiliated person or employee of any investment company, bar*. or insurance company, or from engaging in or continuing any conduct or practice in connection with any such octivity, or in connection with tho purchase or sale of any security, or arising out of any...
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Ohio Savings and Loan Crisis and Collapse of ESM Government Securities, Inc ...

United States. Congress. House. Committee on Government Operations. Commerce, Consumer, and Monetary Affairs Subcommittee - 1985 - 1391 lapas
...foregoing, or as an affiliated person or employee of any investment company, bank, or insurance company, or from engaging in or continuing any conduct or practice in connection with arty such activity, or in connection with the purchase or sale of any security, or arising out D YES...
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Compilation of Securities Laws Within the Jurisdiction of the Committee on ...

United States, United States. Congress. House. Committee on Energy and Commerce - 1985 - 473 lapas
...company, bank, entity or person required to be registered under such Act, or insurance company, or from engaging in or continuing any conduct or practice in connection with any such activity, or in connection with the purchase or sale of any security. ' (D) has willfully...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1986
...or employee of any investment company, bank, savings and loan association or insurance company, or from engaging in or continuing any conduct or practice in connection with any such activity or in connection with the purchase or sale of any security, or was the subject of...
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