... 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... Decisions and Reports - 214 ÆäÀÌÁöÀúÀÚ: United States. Securities and Exchange Commission - 1956Àüüº¸±â - µµ¼ Á¤º¸
| United States. Securities and Exchange Commission - 1945 - 1290 ÆäÀÌÁö
...CommisFlon shall, after appropriate notice and opportunity (or hearing, b; order deny registration to or revoke the registration of any broker or dealer if It finds that sii-.h denial or revocation Is in the public Interest and that (1) such (Footnote 1 continued on p.... | |
| United States - 1968 - 374 ÆäÀÌÁö
...thereof the following four paragraphs : "(18) The term 'person associated with a broker or dealer' means 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... | |
| United States. Congress. Senate. Committee on Banking and Currency - 1936 - 144 ÆäÀÌÁö
...Commission shall, after appropriate notice and opportunity for hearing, by order deny registration to or revoke the registration of any broker or dealer if it finds that such denial or revocation is in the public interest and that such broker or dealer or any person directly... | |
| United States. Securities and Exchange Commission - 1957 - 1194 ÆäÀÌÁö
...thereby ob1 Section 15 (b) of the Exchange Act provides la pertinent part: "The Commlatlon shall, after appropriate notice and opportunity for hearing, by...and that (1) such broker or dealer . . . or (2) any . . . officer, director, or branch manager of such broker or dealer ... or anr person directly or indirectly... | |
| United States. Securities and Exchange Commission - 1947 - 1062 ÆäÀÌÁö
...revoked. l 1 The pertinent provisions of Section 15 (b) read as follows : The Commission shall, after appropriate notice and opportunity for hearing; by...interest and that (1) such broker or dealer ... or (Z) . . . any person directly or indirectly . . . controlled by such broker or dealer ... (B) has been... | |
| United States. Securities and Exchange Commission - 1950 - 948 ÆäÀÌÁö
...a broker-dealer should be revoked.1 1 Section IB (b) provides In part : The Commission shall, after appropriate notice and opportunity for hearing, by...dealer If It finds that such revocation Is In the pnbllc Interest and that . . . such broker or dealer . . . has willfully violated any provision of... | |
| United States. Securities and Exchange Commission - 1960 - 996 ÆäÀÌÁö
...entered against registrant.1 1 Section 15 (b) of the Act provides in part: "The Commission shall, after appropriate notice and opportunity for hearing, by...broker or dealer If it finds that such . . . revocation la in the public interest and that (1) such broker or dealer ... or (2) any partner, officer, director... | |
| United States. Securities and Exchange Commission - 1956 - 1172 ÆäÀÌÁö
...Exchange Act and Rules 1 Section 15(b) of the Exchange Act provides in part: "The Commission shall, after appropriate notice and opportunity for hearing, by...registration of any broker or dealer if it finds that auch . . . revocation a in the public interest and that (1) Buch broker or dealer . . . (D) has willfully... | |
| United States. Securities and Exchange Commission - 1958 - 1232 ÆäÀÌÁö
...s and, if so, whether 1 Section 15 (b) of the Exchange Act provides : "The Commlfflon shall, after appropriate notice and opportunity for hearing, by...revoke the registration of any broker or dealer If tt flnda that such . . . revocation Is In the pnbllc Interest and that (1) such broker or dealer .... | |
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