 ... 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...  Decisions and Reports - Page 564by United States. Securities and Exchange Commission - 1960Full view - About this book
 | United States. Securities and Exchange Commission - Securities - 1956 - 926 pages
...subsequent to becoming such ... is permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging...or practice in connection with the purchase or sale of any security ; . . ." In his application Mendell stated, and the record shows, that on May 21, 1938,... | |
 | United States. Congress. Senate. Committee on Banking and Currency - Securities - 1936 - 144 pages
...of a broker or dealer; or (3) is permanently or temporarily enjoined by order, judgment or decree of any court of competent jurisdiction from engaging...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 Exchange Act... | |
 | United States - Corporation law - 1938 - 48 pages
...a broker or dealer; or (C) is permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging...connection with the purchase or sale of any security; or (D) has willfully violated any provision of the Securities Act of 1933, as amended, or of this title,... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1938 - 138 pages
...securities exchange[, or (C) is permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging...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. House. Committee on Interstate and Foreign Commerce - Brokers - 1938 - 108 pages
...securities exchange, or (C) is permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging...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. Senate. Committee on Banking and Currency - Brokers - 1938 - 148 pages
...securities exchange[, or (C) is permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging...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. House. Committee on Interstate and Foreign Commerce - 1938 - 98 pages
...securities exchange, or (C) is permanently or temporarily enjoined by order, judgment, or decree of any court of competent jurisdiction from engaging...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 - Securities - 1956 - 1172 pages
...of auch broker or dealer . . . (C) is permanently . . . enjoined by order, judgement, or decree of any court of competent jurisdiction from engaging...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 - Securities - 1962 - 1022 pages
...nny broker or dealer If we find that It Is In the public Interest and that such broker or denier Is enjoined by any court of competent jurisdiction from...continuing any conduct or practice In connection with tbe purchase or sale of any security or has willfully violated any provision of the Exchange Act or... | |
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