 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1180 páginas
...registration statement, application, report, or other document filed with the Commission pursuant to any provision of this title or of any rule or regulation thereunder shall be made available to the public, unless and except insofar as the Commission, by rules and regulations... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1174 páginas
...registration Maternent, application, report, or other document filed with the Commission pursuant to any provision of this title or of any rule or regulation thereunder shall be made available to the public, unless and except insofar as the Commission, by rules and regulations... | |
 | United States - 1953 - 1692 páginas
...becoming such, or (2) any partner, officer, director, or branch manager of such broker or dealer (or any title I, § 2, 49 Stat. 804.) TRANSFER OF PONCTIONS...certain exceptions, transferred to the Chairman of (A) has willfully made or caused to be made in any application for registration pursuant to this subsection... | |
 | 1977 - 958 páginas
...person" shall mean any officer, director, or branch manager of a nonmember broker or dealer (or any person occupying a similar status or performing similar...directly or indirectly controlling or controlled by such nonmember broker or dealer, and shall Include any employee of such nonmember broker or dealer. (3)... | |
 | 1978 - 1130 páginas
...person" shall mean any officer, director, or branch manager of a nonmember broker or dealer (or any person occupying a similar status or performing similar...directly or indirectly controlling or controlled by such nonmember broker or dealer, and shall include any employee of such nonmember broker or dealer. (3)... | |
 | United States. Securities and Exchange Commission - 1939 - 1152 páginas
...under which it was made false or misleading with respect to any material fact; ... or (D) has wilfully violated any provision ... of this title, or of any rule or regulation thereunder. On June 29, 1937, we instituted proceedings on the question of denial or postponement of registration,... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1953 - 854 páginas
...registration statement, application, report, or other document filed with the Commission pursuant to any provision of this title or of any rule or regulation thereunder (as distinguished from any information or document transmitted to the Commission) shall be made available... | |
 | United States - 1955 - 54 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...controlled by such broker or dealer, whether prior or 'By aec. 12 of Public, No. 621, 74th Cong., the provisions of this subsection do not become effective... | |
| |
... 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... 
