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" ... any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing similar functions), or any person directly or indirectly controlling or controlled by such broker or dealer... "
Nomination of William J. Casey: Hearings, Ninety-second Congress, First ... - Página 441
por United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs - 1971 - 785 páginas
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Decisions and Reports, Volumen11

United States. Securities and Exchange Commission - 1945
...any broker or dealer If It finds that sucb . . . revocation It In the public Interest and that . . . such broker or dealer, whether prior or subsequent to becoming such . . . has willfully violated an; provision of the Securities Act of 1933, as amended, or of this title, or of any rule or regulation...
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Decisions and Reports, Volumen31

United States. Securities and Exchange Commission - 1956
...continuing any conduct or practice in connection with the purchase or sale of any security; or (D) has willfully violated any provision ... of this title, or of any rule or regulation thereunder." The record shows that on February 10, 1950, in an action brought by this Commission, a judgment was...
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Laws Relating to Securities Commission, Exchanges and Holding Companies

United States - 1968
...or dealer' means any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing similar...controlling or controlled by such broker or dealer, including any employee of such broker or dealer, except that for the purposes of section 15 (b) of...
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Unlisted Securities: Hearing Before the Committee on Interstate and Foreign ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 26 páginas
...or dealer, or (2) any partner, officer, director, or branch manager of such broker or deaier (or any person occupying a similar status or performing similar...dealer, whether prior or subsequent to becoming such, (A) has willfully made or caused to be made in any application for registration pursuant to this subsection...
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Decisions and Reports, Volumen28

United States. Securities and Exchange Commission - 1955
...becoming such, or (2) any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing similar...this title, or of any rule or regulation thereunder . . ." » Section ISA (1) (2) provides in part as follows: "(1) The Commission is authorized, if such...
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Regulation of Over-the-counter Markets. Hearings Before a Subcommittee ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 89 páginas
...becoming such, or (2) any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing similar...dealer, whether prior or subsequent to becoming such, (A) has been and is suspended or expelled from a registered securities association (whether national...
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Decisions and Reports, Volumen7

United States. Securities and Exchange Commission - 1941
...becoming such, or (2) any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing similar...dealer, whether prior or subsequent to becoming such, (A) has been and is suspended or expelled from a registered securities association (whether national...
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Securities Exchange Act of 1934: And Amendments Public--no. 291--73d ...

United States - 1938 - 44 páginas
...becoming such, or (2) any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing similar...dealer, whether prior or subsequent to becoming such, (A) has been and is suspended or expelled from a registered securities association (whether national...
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Decisions and Reports, Volumen30

United States. Securities and Exchange Commission - 1956
...becoming such, or (2) any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing similar...dealer, whether prior or subsequent to becoming such, . . . (D) has willfully violated any provisions of the Securities Act of 19S3, as amended, or of this...
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Regulation of Over-the-counter Markets: Hearings Before a Subcommittee of ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 89 páginas
...becoming such, or (2) any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing similar...dealer, whether prior or subsequent to becoming such, (A) has been and is suspended or expelled from a registered securities association (whether national...
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