 | United States. Securities and Exchange Commission - 1956 - 716 páginas
...becoming; such, or (t) 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 eontrolling or controlled by such broker or dealer, whether prior or subsequent to becoming rack, (A)... | |
 | United States. Securities and Exchange Commission - 1953 - 1110 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 functions), or any person directly or indirectly controlled by such broker or dealer, whether prior or subsequent to becoming such, . . . (D) has willfully... | |
 | United States. Securities and Exchange Commission - 1956 - 1172 páginas
...broker or dealer ... or (2) any . . . officer, director, or branch manager of such broker or dealer ... or any person directly or Indirectly controlling or controlled by such broker or dealer , . . (D) has willfully violated any provision of ... this title, or of any rule or regulation thereunder."... | |
 | United States. Securities and Exchange Commission - 1952 - 920 páginas
...from continuance in membership in the NASD any broker or dealer if any person directly or indirectly controlled by such broker or dealer, whether prior or subsequent to becoming such, has been and is expelled from a registered securities association for violation of any rules of such association... | |
 | United States. Securities and Exchange Commission - 1958 - 1232 páginas
...such broker or dealer ... or (2) any . . . officer [or] director ... of such broker or dealer . . . , or any person directly or indirectly controlling or controlled by such broker or dealer, . . . (D) lias willfully violated any provision of the Securities Act of 1833, as amended, or of this... | |
 | United States. Securities and Exchange Commission - 1960 - 996 páginas
...the public interest and that such broker or dealer or any officer, director or controlling person of such broker or dealer, whether prior or subsequent to becoming such, has willfully made or caused to be made in any application for registration any false or misleading statement with... | |
 | United States. Securities and Exchange Commission - 1950 - 948 páginas
...Interest and that (1) such broker or dealer whether prior or subsequent to becoming such, or (2) ... any person directly or Indirectly controlling or controlled by such broker or dealer . . . has willfully violated any provision of the Securities Act of 1933, as amended, or of this title,... | |
 | United States. Securities and Exchange Commission - 436 páginas
...registration to * * * any broker or dealer if it finds that such denial is in the public interest and that such broker or dealer whether prior or subsequent to becoming such * * * has been convicted within ten years preceding the filing of any such application or at any time thereafter... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1938 - 138 páginas
...association, if 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 controlling or controlled by such broker or dealer falls within the specified categories. Practically... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1938 - 144 páginas
...association, if 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 controlling or controlled by such broker or dealer falls within the specified categories. Practically... | |
| |
... 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... 
