 Act, or of this title, or of any rule or regulation under any of such statutes ; or "(3) has willfully aided, abetted, counseled, commanded, induced, or procured the violation by any other person of the Securities Act of 1933, or of the Securities Exchange...  National Securities Market System Act of 1973: Hearings, Ninety-third ... - Página 89por United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - 1973 - 743 páginasVisualização integral - Acerca deste livro
 | United States - 1983 - 1152 páginas
...or order thereunder (other than a violation set forth in paragraph (2) of this section), or to have willfully aided, abetted, counseled, commanded, induced,...procured the violation by any other person of any such provision; (B) such person has been found by any court of competent jurisdiction or by any Federal... | |
 | United States - 1994 - 1332 páginas
...Commodity Exchange Act [7 USC l et seq.], or of any rule or regulation under any of such statutes; (3) 7 d f% X iq w ; VrG G ^ Kɠ [ E C I P DX w the Securities Act of 1933 [15 USC 77a et seq.], or of the Securities Exchange Act of 1934 [15 USC... | |
 | United States - 2000 - 1216 páginas
...future delivery traded on or subject to the rules of a contract market or any board of trade; or (C) aided, abetted, counseled, commanded, induced, or procured the violation by any other person of any foreign statute or regulation regarding transactions in securities or contracts of sale of a commodity... | |
 | United States - 1973 - 400 páginas
...been or hereafter may be amended, or of any rule or regulation under any of such statutes ; or (E) has aided, abetted, counseled, commanded, induced, or procured the violation by any other person of the Securities Act of 1933, or the Securities Exchange Act of 1934, or of this title, as any of such... | |
 | 1980 - 680 páginas
...preceding the filing of the application, such person has (a) been found to have violated, or to have willfully aided, abetted, counseled, commanded, induced...violation by any other person of, any provision of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act... | |
 | 1986 - 1004 páginas
...of a State or foreign jurisdiction, or any rule or regulation under any such statutes; (B) To have aided, abetted, counseled, commanded, induced, or procured the violation by any other person of such statutes or rules or regulations; or (C) To have failed reasonably to supervise, with a view to... | |
 | 1987 - 500 páginas
...of a State or foreign jurisdiction, or any rule or regulation under any such statutes; (B) To have aided, abetted, counseled, commanded, induced, or procured the violation by any other person of such statutes or rules or regulations; or (C) To have failed reasonably to supervise, with a view to... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1963 - 490 páginas
...hereafter may be amended, or of any rule or regulation [thereunder] under any of such statutes; or (E) has willfully aided, abetted, counseled, commanded,...induced, or procured the violation by any other person of the Securities Act of 1933, or the Investment Advisers Act of 1940, or the Investment Company Act of... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1967 - 132 páginas
...10(a) of the Investment Company Act of 1940 is amended to read as follows: "(3) has willfully caused, aided, abetted, counseled, commanded, induced, or procured the violation by any other person of the Securities Act of 1933, or of the Securities Exchange Act of 1934, or of title II of this Act,... | |
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