 | United States. Congress. Senate. Committee on Banking and Currency - Securities - 1936 - 144 pages
...been convicted within ten 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 - Securities - 1956 - 1016 pages
.... revocation, or suspension is in the public Interest and that such investment adviser or any . . . officer, director ... or controlling person thereof...adviser or affiliated person as an investment adviser . . . broker, or dealer . . . • *••*•• "(3) has violated the provisions of section 207 of... | |
 | United States. Securities and Exchange Commission - Securities - 1941 - 1124 pages
...revocation, or suspension of registration is in the public interest and that such broker or dealer has been convicted of any felony or misdemeanor involving...purchase or sale of any security or arising out of the conduct of the business of a broker or dealer, or is permanently or temporarily enjoined for engaging... | |
 | United States. Securities and Exchange Commission - Securities - 1955 - 920 pages
...finds that such . . . revocation Is In the public Interest and that . . . such broker or dealer . . . has been convicted ... of any felony or misdemeanor...purchase or sale of any security or arising out of the conduct of the business of a broker or dealer ... or ... has wilfully violated any provision of... | |
 | United States. Securities and Exchange Commission - Securities - 1943 - 1160 pages
...Investment trust, or registered face-amount certificate company : (1) any person who within ten years has been convicted of any felony or misdemeanor Involving...purchase or sale of any security or arising out of such person's conduct as an underwriter, broker, dealer, or Investment adviser, or as an affiliated... | |
 | United States. Securities and Exchange Commission - Securities - 1941 - 1192 pages
...been convicted within 10 years 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; • • • (D) has willfully violated any provision... | |
 | United States - Corporation law - 1938 - 48 pages
...been convicted within ten years 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 - Securities - 1940 - 1240 pages
...been convicted within 10 years 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 . . . By order dated February 19, 1938, the Commission... | |
 | United States. Securities and Exchange Commission - Securities - 1960 - 996 pages
...dealer If we find it Is in the public interest and that such broker or dealer has been convicted of a felony or misdemeanor involving the purchase or sale of any security or arising out of the conduct of his business as a broker or dealer. 38 SEC — 84 — 5614 157 Fraud 2 and Conspiracy... | |
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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 or arising out of such person's conduct as an underwriter, broker, dealer, or investment adviser... 
