 ... 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 - Página 564por United States. Securities and Exchange Commission - 1960Vista completa - Acerca de este libro
 | United States. Securities and Exchange Commission - 1956 - 926 páginas
...subsequent to becoming such ... is permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging...or practice in connection with the purchase or sale of any security ; . . ." In his application Mendell stated, and the record shows, that on May 21, 1938,... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1936 - 144 páginas
...of a broker or dealer; or (3) is permanently or temporarily enjoined by order, judgment or decree of any court of competent jurisdiction from engaging...connection with the purchase or sale of any security; or (4) has wilfully violated any provision of the Securities Act of 1933 or the Securities Exchange Act... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 36 páginas
...a broker or dealer; or (C) is permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging...connection with the purchase or sale of any security ; or (D) has willfully violated any provision of the Securities Act of 1933, as amended, or of this title,... | |
 | United States - 1938 - 48 páginas
...a broker or dealer; or (C) is permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging...connection with the purchase or sale of any security; or (D) has willfully violated any provision of the Securities Act of 1933, as amended, or of this title,... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1938 - 138 páginas
...securities exchange[, or (C) is permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging...or practice in connection with the purchase or sale of any security] ; "(5) the rules of the association assure a fair representation of [the membership]... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 108 páginas
...securities exchange, or (C) is permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging...or practice in connection with the purchase or sale of any security; "(5) the rules of the association assure a fair representation of the membership in... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1938 - 148 páginas
...securities exchange[, or (C) is permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging...or practice in connection with the purchase or sale of any security] ; "(5) the rules of the association assure a fair representation of [the membership]... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 98 páginas
...securities exchange, or (C) is permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging...or practice in connection with the purchase or sale of any security ; "(5) the rules of the association assure a fair representation of the membership... | |
 | United States. Securities and Exchange Commission - 1956 - 1172 páginas
...of auch broker or dealer . . . (C) is permanently . . . enjoined by order, judgement, or decree of any court of competent jurisdiction from engaging...conduct or practice in connection with the purchase or Bale of any security; or (D) has willfully violated any provision of the Securities Act of 1933, as... | |
 | United States. Securities and Exchange Commission - 1962 - 1022 páginas
...nny broker or dealer If we find that It Is In the public Interest and that such broker or denier Is enjoined by any court of competent jurisdiction from...continuing any conduct or practice In connection with tbe purchase or sale of any security or has willfully violated any provision of the Exchange Act or... | |
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