 | United States. Congress. Senate. Interstate and Foreign Commerce Committee - 1934 - Страниц: 972
...such security has failed to comply with any provision of this Act or the rnles and regulations made thereunder; (3) After appropriate notice and opportunity for hearing by order to suspend for a period not exceeding twelve months or to expel altogether from a national securities... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - Страниц: 1106
...such security has failed to comply with any provision of this Act or the rules and regulations made thereunder; (3) After appropriate notice and opportunity for hearing by order to suspend for a period not exceeding twelve months or to expel altogether from a national securities... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1938 - Страниц: 148
...was violating in respect of such transaction any provision of the Securities Act of 1933, as amended, or of this title or the rules and regulations thereunder;...securities association who, the Commission finds, has willfully failed to enforce the rules of the association, or has willfully abused his authority. "(m)... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1938 - Страниц: 138
...was violating in respect of such transaction any provision of the Securities Act of 1933, as amended, or of this title or the rules and regulations thereunder;...securities association who, the Commission finds, has willfully failed to enforce the rules of the association, or has willfully abused his authoiity. "(m)... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1938 - Страниц: 144
...other person did in fact violate the Securities Act of 1933 as amended in respect of such transaction; "(3) after appropriate notice and opportunity for...securities association who, the Commission finds, has willfully failed to enforce the rules of the association, or has willfully abused his authority. ''(m)... | |
 | United States - 1938 - Страниц: 48
...security if the Commission finds that the issuer of such security has failed to comply with any provision of this title or the rules and regulations thereunder....appropriate notice and opportunity for hearing, by order to suspend for a period not exceeding twelve months or to expel from a national securities exchange any... | |
 | United States - 1983 - Страниц: 1152
...violating with respect to such transaction any provision of this chapter or rule, regulation, or order.' (3) after appropriate notice and opportunity for hearing,...from office any officer or director of a registered futures association who, the Commission finds, has willfully failed to enforce the rules of the association,... | |
 | United States - 1975 - Страниц: 1706
...violating with respect to such transaction any provision of this chapter or rule, regulation, or order. e office in respect of which he so serves. Such compensation. futures association who, the Commission finds, has willfully failed to enforce the rules of the association,... | |
 | United States - 1973 - Страниц: 400
...willfully violating with respect to such transaction any provision of such Act or rule or regulation ; (3) after appropriate notice and opportunity for hearing,,...to remove from office any officer or director of a rerpstered securities association who, tne Commission finds, has willfully failed to enforce the rules... | |
 | United States - 1953 - Страниц: 1692
...Commission finds that the issuer of such security has failed to comply with any provision of this chapter "F 1941 +For sale by the Supt. of Docs.,...G.P.O." " United States( " undertaking cont suspend for a period not exceeding twelve months or to expel from a national securities exchange any... | |
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Commission finds has violated any provision of this title or the rules and regulations thereunder, or has effected any transaction for any other person who, he has... 
