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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

Fund Governance: Legal Duties of Investment Company Directors

Robert A. Robertson - 2001 - 1130 lapas
...adviser . . ., or as an affiliated person, salesman, or employee of any investment 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."5 A disqualification...
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Arizona Real Estate Basics

Kaplan Publishing, Dearborn Financial Publishing - 2003 - 81 lapas
...denial of a license • Order, judgment, or decree permanently or temporarily enjoining an applicant from engaging in or continuing any conduct or practice in connection with the sale or purchase of real estate or cemetery property, time-share intervals, membership camping contracts,...
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Comparative Law Yearbook of International Business

Dennis Campbell - 2003 - 464 lapas
...five years prior to commencement of the offering, permanently restraining or enjoining such person 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 any state; 2. has...
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Annual Report of the SEC.

United States. Securities and Exchange Commission - 1947
...action instituted by the Commission to enjoin the issuer or other person affiliated with the issuer from engaging in or continuing any conduct or practice in connection with the sale of any security of such issuer. It is obviously inconsistent with the Commission's action in securing an injunction...
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SEC Docket, 4. sējums

United States. Securities and Exchange Commission - 1990
...interest. Section 15(b) specifically provides that we may revoke the registration of a broker-dealer who is enjoined from engaging in or continuing any conduct or practice in connection with the purchase or sale of securities if we find such revocation in the public interest. It is not necessary...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1967
...dealer or Investment adviser; (2) Is temporarily or permanently restrained or enjoined by any court from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security or arising out of such person's conduct as an underwriter, broker,...
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SEC Docket: A Weekly Compilation of Releases from the Securities and ...

United States. Securities and Exchange Commission - 1991
...person who ... is permanently or temporarily enjoined by order, judgement, or decree of any court . . . from engaging in or continuing any conduct or practice in connection . . . with the purchase or sale of any security" from serving or acting in the capacity of "employee, officer, director,...
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The Code of Federal Regulations of the United States of America

1998
...to the filing of such notification, temporarily or permanently restraining or enjoining such person from engaging in or continuing any conduct or practice in connection with the purchase or sale of securities; (5) Is subject to pending proceedings under section 8(e) of the Investment...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1970
...dealer or investment adviser; (2) Is temporarily or permanently restrained or enjoined by any court from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security or arising out of such person's conduct as an underwriter, broker,...
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Brokers and Dealers Fees Under Securities and Exchange Commission. Hearings ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. 260: - 1952 - 123 lapas
...business of a broker or dealer; (3) the existence of a court order against the applicant enjoining him from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security; (4) or a willful violation of the Securities Act of 1933 or any rule...
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