Federal Register - February 10, 1942
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Fuente: Federal Register
920
FEDERAL REGISTER, Tuesday, February 10, 1942
Association of Securities Dealers, Inc., from membership in the National Asso and the St. Louis Stock Exchange.
ciation of Securities Dealers Inc., and 3.
We find that the registrant has wil the St. Louis Stock Exchange.
fully violated sections 8 b, 8 c, and Accordingly, it is ordered, Pursuant to 17 a of the Securities Exchange Act of Sections 15 b, 15A Z 2, and 19
1934, and Rules X-8C-1 and X-17A-3 of a 3 of the Securities Exchange Act the Commissions rules thereunder, and of 1934, that the registration of H. L.
that it is necessary and appropriate in Ruppert &Company, Inc., as a broker and the public interest and for the protection dealer be, and it hereby is, revoked, and of investors to revoke the registrants that H. L. Ruppert & Company, Inc., be, registration as an over-the-counter and it hereby is, expelled from the Na broker-dealer, and to expel registrant tional Association of Securities Dealers,
Inc., a registered national securities as sociation, and from the St. Louis Stock Exchange, a registered national securi ties exchange.
By the Commission Chairman Purcell, Commissioners Healy, Pike and Burke, Commissioner OBrien being absent and not participating.
seal
F rancis P. B rassor,
Secretary.
P. R. Doc. 42-1194; Filed, February 9, 1942;
11:42 a. m.
