 | United States. Securities and Exchange Commission - 1951 - 862 páginas
...investment adviser, or as an affiliated person, salesman, or employee of any investment company, bank, or insurance company, or from engaging in or continuing...connection with the purchase or sale of any security; or (3) a company any affiliated person of which is ineligible, by reason of paragraph (1) or (2), to serve... | |
 | United States. Securities and Exchange Commission - 1956 - 716 páginas
...judgment, or decree of any court of competent jurisdiction from acting as an investment adviser, ... or from engaging In or continuing any conduct or practice...connection with the purchase or sale of any security; or "(8) has violated the provisions of section 207 of this title." ,".r, 8. BC— IA 40 84 represented... | |
 | United States. Securities and Exchange Commission - 1941 - 1124 páginas
...Investment adviser, or as an affiliated person, salesman, or employee of any Investment company, bank, or Insurance company, or from engaging In or continuing...activity or In connection with the purchase or sale of any security . . . Section 9 (b) provides: Any person who Is Ineligible, by reason of subsection... | |
 | United States. Securities and Exchange Commission - 1960 - 996 páginas
...permanently or temporarily enjoined by a court of competent jurisdiction from engaging as a broker or dealer or from engaging in or continuing any conduct or practice...activity or in connection with the purchase or sale of any security. 38 SEC— IA-40 95 577 Registrant is enjoined by order of the United States District... | |
 | United States. Securities and Exchange Commission - 1943 - 1160 páginas
...Investment adviser, or as an affiliated person, salesman, or employee of any Investment company, bank, or Insurance company, or from engaging In or continuing...connection with any such activity or in connection with tbe purchase or sale of any security ; . . . Section 0 (b) provides: Any person who Is Ineligible,... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1940 - 164 páginas
...investment adviser, or as an affiliated person, salesman, or employee of any investment company, bank, or insurance company, or from engaging in or continuing...connection with the purchase or sale of any security ; or (3) a company, any affiliated person of which is ineligible, by reason of paragraph (1) or (2), to... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1180 páginas
...investment adviser, or as an affiliated person, salesman, or employee of any investment company, bank, or insurance company, or from engaging in or continuing...activity or in connection with the purchase or sale- of any security; (3) the application, as amended, omits any material fact required to be stated therein:... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1174 páginas
...investment adviser, or as an affiliated person, salesman, or employee of any investment company, bank, or insurance company, or from engaging in or continuing...activity or in connection with the purchase or sale of any security; (3) the application, as amended, omits any material fact required to be stated therein;... | |
 | United States - 1953 - 1692 páginas
...investment adviser, or as an affiliated person, salesman, or employee of any investment company, bank, or insurance company, or from engaging in or continuing...connection with the purchase or sale of any security; or (3) a company any affiliated person of which is ineligible, by reason of paragraph (1) or (2) of this... | |
| |
... 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... 
