 | United States. Congress. Senate. Committee on Banking and Currency - 1936 - 144 páginas
...permanently or temporarily enjoined by order, judgment or decree of any court of competent jurisdiction from engaging in or continuing any conduct or practice in 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... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 36 páginas
...permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security ; or (D) has willfully violated any provision of the Securities Act of 1933, as amended,... | |
 | United States. Securities and Exchange Commission - 1958 - 1232 páginas
...judgment or decree of any court entered within 5 years prior to such filing, enjoining or restraining such person from engaging In or continuing any conduct...or practice In connection with the purchase or sale of any security . . ." power in contravention of Section 1 and Section 8, Clause 18, of Article I of... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1938 - 148 páginas
...permanently or temporarilv enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging in or continuing any conduct 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 - 1938 - 48 páginas
...permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging in or continuing any conduct or practice in connection with the purchase or sale of any security; or (D) has willfully violated any provision of the Securities Act of 1933, as amended,... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 108 páginas
...permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging in or continuing any conduct 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. House. Committee on Interstate and Foreign Commerce - 1938 - 98 páginas
...permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging in or continuing any conduct 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. Senate. Banking and Currency Committee - 1938 - 138 páginas
...permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging in or continuing any conduct 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
...is permanently . . . enjoined by order, judgement, or decree of any court of competent jurisdiction from engaging in or continuing any 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 - 1941 - 1124 páginas
...of the conduct of the business of a broker or dealer, or is permanently or temporarily enjoined for engaging in, or continuing any conduct or practice in connection with the purchase or sale of any security. Inasmuch as the registrant did not actually receive the notice sent by registered... | |
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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... 
