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168 ÆäÀÌÁö
registered broker or dealer , and bar from becoming associated with a member any person , who is subject to a statutory disqualification . A registered securities association shall file notice with the Commission not less than thirty ...
registered broker or dealer , and bar from becoming associated with a member any person , who is subject to a statutory disqualification . A registered securities association shall file notice with the Commission not less than thirty ...
169 ÆäÀÌÁö
( h ) Discipline of registered securities association members and persons associated with members ; summary proceedings . ( 1 ) In any proceeding by a registered securities association to determine whether a member or person associated ...
( h ) Discipline of registered securities association members and persons associated with members ; summary proceedings . ( 1 ) In any proceeding by a registered securities association to determine whether a member or person associated ...
175 ÆäÀÌÁö
( D ) has associated with him any person who is known , or in the exercise of reasonable care should be known , to him to be a person who , if such person were a broker or dealer , would be ineligible for admission to or continuance in ...
( D ) has associated with him any person who is known , or in the exercise of reasonable care should be known , to him to be a person who , if such person were a broker or dealer , would be ineligible for admission to or continuance in ...
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Act 15 USCS action affd agency alleged appears application appropriate approval association authority bank broker or dealer broker-dealer capital CCH Fed Secur cert claim Commission Corp corporation court customers defendant determine directors district effect enforcement Exchange Act 15 F Supp fact failed fair Fed Secur L federal filing finds firm grounds Holding Company Act injunction insider investment investors issued jurisdiction liability limited material means misleading necessary officer period person practice proceeding profits protection provisions proxy public interest Public Utility Holding purchase pursuant reasonable records referred registered relating Release respect rules rules and regulations Secur L Rep Securities Exchange Act shareholders shares SIPC solicitation statement stockholders subsection subsidiary tender offer tion Trade transactions transfer trustee United Utility Holding Company violation