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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
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Small Business Informational Package

1988 - 315 lapas
...five years prior to the filing of such notification, permanently enjoining or restraining such person from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security, involving the making of a false filing with the Commission, or arising...
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Problems with the SEC's Enforcement of U.S. Securities Laws in ..., 4. sējums

United States. Congress. House. Committee on Government Operations. Commerce, Consumer, and Monetary Affairs Subcommittee - 1988 - 649 lapas
...capacities, set forth in paragraph (2) of subsection (a) , or a substantially equivalent foreign 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 any security.* 12 (b) Section 203 (e)...
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International Securities Enforcement: Hearing Before the ..., 4. sējums

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance - 1989 - 176 lapas
...registered under the Commodity Exchange Act or substantially equivalent foreign statute or regulation, 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. (G) has been found by...
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Preliminary Inquiry Into Allegations Regarding Senators Cranston ..., 5. sējums

United States. Congress. Senate. Select Committee on Ethics - 1991
...insurance company, or entity or person required to be registered under the Commodity Exchange Act, 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". Sec. 510. Section...
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Preliminary Inquiry Into Allegations Regarding Senators Cranston, DeConcini ...

United States. Congress. Senate. Select Committee on Ethics - 1991
...insurance company, or entity or person required to be registered under the Commodity Exchange Act, 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". Sec. 510. Section...
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Compilation of Securities Laws Within the Jurisdiction of the Committee on ...

United States - 1993
...under the Commodity Exchange Act or any substantially equivalent foreign statute or regulation, 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 violated...
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Compilation of Securities Laws Within the Jurisdiction of the Committee on ...

United States - 1989
...insurance company, or entity or person required to be registered under the Commodity Exchange Act, 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 (3) a company any...
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Securities Litigation Reform Proposals, S. 240, S. 667, and H.R. 1058 ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities, United States - 1995 - 603 lapas
...within five years prior to the making of the statement, permanently restraining or enjoining the issuer from engaging in or continuing any conduct or practice in connection with the APTC Proposal Page Two purchase or sale of any security or involving the making of any false filing...
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Reauthorization of the Small Business Technology Transfer Program ..., 4. sējums

United States, United States. Congress. House. Committee on Science. Subcommittee on Technology - 1998 - 188 lapas
...competent jurisdiction that temporarily, preliminarily, or permanently restrains or enjoins such party from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security, or involving the making of any false filing with the state, entered...
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Compilation of Securities Laws Within the Jurisdiction of the ..., 4. sējums

United States - 1997 - 720 lapas
...insurance company, or entity or person required to be registered under the Commodity Exchange Act, 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 (3) a company any...
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