 | United States. Congress. Senate. Committee on Banking and Currency - 1933 - 1262 halaman
...any person liable under any provision of this Act or of any rule or regulation made pursuant thereto shall also be liable jointly and severally with and to the same extent aa such controlled person to any person to whom such controlled person is liable. (b) It shall be unlawful... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 984 halaman
...through stock ownership, agency, or otherwise, controls any person liable under any provision of this Act or of any rule or regulation thereunder shall also...jointly and severally with and to the same extent ns such controlled person to any person to whom such controlled person is liable, unless the controlling... | |
 | United States - 1938 - 48 halaman
...LIABILITIES OF CONTROLLING PERSONS SEC. 20. (a) Every person who, directly or indirectly, controls any Eerson liable under any provision of this title or of any rule or reguition thereunder shall also be liable jointly and severally with and to the same extent as such... | |
 | United States. Securities and Exchange Commission - 1956 - 1172 halaman
...revocation is in the public interest and that . . . such broker or dealer . . . has willfully violated any provision ... of this title, or of any rule or regulation thereunder. . . . Pending final determination whether any such registration shall be revoked, the Commission shall... | |
 | United States. Securities and Exchange Commission - 1957 - 756 halaman
...revocation IB In the public Interest and that (1) such broker or dealer . . . (D) has willfully violated any provision ... of this title, or of any rule or regulation thereunder." 85 SEC— «4 4003 Under the circumstances, we are of the opinion that the public interest will be... | |
 | United States. Securities and Exchange Commission - 1956 - 716 halaman
...revocation is In the public Interest and that (1) such broker or dealer . . . (D) has willfully violated any provision ... of this title, or of any rule or regulation thereunder." -Section I6A(/) (2) of the Exchange Act provides for the suspension for a maximum of 12 months or the... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1180 halaman
...registration statement, application, report, or other document filed with the Commission pursuant to any provision of this title or of any rule or regulation thereunder shall be made available to the public, unless and except insofar as the Commission, by rules and regulations... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1174 halaman
...registration Maternent, application, report, or other document filed with the Commission pursuant to any provision of this title or of any rule or regulation thereunder shall be made available to the public, unless and except insofar as the Commission, by rules and regulations... | |
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... shall also be liable jointly and severally with and to the same extent as such controlled person... 
