 | United States. Congress. Senate. Committee on Banking and Currency - 1936 - 144 páginas
...years preceding the filing of such application or at any time thereafter of any felony or misdemeanor involving the purchase or sale of any security or arising out of the conduct of the business of a broker or dealer; or (3) is permanently or temporarily enjoined by... | |
 | United States. Securities and Exchange Commission - 1943 - 1160 páginas
...certificate company : (1) any person who within ten years has been convicted of any felony or misdemeanor Involving the purchase or sale of any security or...underwriter, broker, dealer, or Investment adviser, or as an affiliated person, salesman, or employee of any Investment company, bank, or Insurance company... | |
 | United States. Securities and Exchange Commission - 1962 - 1022 páginas
...officer or promoter of an Issuer has been convicted within 5 years prior to the filing of a notification of any crime or offense Involving the purchase or sale of any security or arising out of the conduct of a business of a broker or dealer, does not In our view affect our power and duty to... | |
 | United States. Securities and Exchange Commission - 1958 - 1232 páginas
..."(1) has been convicted within 5 years prior to the filing of the notification required by Rule 218 of any crime or offense Involving the purchase or sale of any security . . . ; [or] "(11) is subject to any order, judgment or decree of any court entered within 5 years prior to such... | |
 | United States - 1938 - 48 páginas
...preceding the filing of any such application or at any time thereafter of any felony or misdemeanor involving the purchase or sale of any security or arising out of the conduct of the business of a broker or dealer; or (C) is permanently or temporarily enjoined by... | |
 | United States. Securities and Exchange Commission - 1957 - 756 páginas
...salesman or other employee has been convicted within the last 10 years of any felony or misdemeanor involving the purchase or sale of any security or arising out of the conduct of the business of a broker or dealer. Item 21 calls for information as to whether or not... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1180 páginas
...(1) within ten years of the issuance of such order, has been convicted of any felony or misdemeanor involving the purchase or sale of any security or arising out of any conduct or practice of such investment adviser or affiliated person as an investment adviser, underwriter,... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1174 páginas
...(1) within ten years of the issuance of such order, has been convicted of any felony or misdemeanor involving the purchase or sale of any security or arising out of any conduct or practice of such investment adviser or affiliated person as an investment adviser, underwriter,... | |
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... (1) any person who within ten years has been convicted of any felony or misdemeanor involving the purchase or sale of any security... 
