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" No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security (other than commercial paper, bankers... "
Study of the Securities Industry: Hearings, Ninety-second Congress, First ... - 946. lappuse
autors: United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1971 - 4623 lapas
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Decisions and Reports, 11. sējums

United States. Securities and Exchange Commission - 1945 - 1290 lapas
...or deceit upon the purchaser . . . Section 15 (c) (1) of the Securities Exchange Act reads, in part: No broker or dealer shall make use of the mails or...commerce to effect any transaction In, or to Induce the purchase or sale of, my security . . . otherwise than on a national securities exchange, by means...
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Decisions and Reports, 31. sējums

United States. Securities and Exchange Commission - 1956 - 926 lapas
...sale of any security." Section 15 (c) (1) provides: "No broker or dealer shall make use of the malls or of any means or instrumentality of interstate commerce to effect any transaction In, or to Induce the purchase or sale of, any security (other than commercial paper, bankers' acceptances, or commercial...
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Stock Exchange Practices: Hearings Before the Committee on Banking and ...

United States. Congress. Senate. Committee on Banking and Currency - 1933 - 1262 lapas
...binding the Federal Government. It shall bo unlawful for any broker or dealer, directly or indirectly, to make use of the mails or of any means or instrumentality of transportation or communication in interstate commerce for the purpose of effecting on an exchange...
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Stock Exchange Regulation: Hearing Before the Committee...seventy-third ...

United States. Congress. Senate. Interstate and Foreign Commerce Committee - 1934 - 972 lapas
...FOREIGN EXCHANGES SEC. 28. It shall be unlawful for any broker or dealer, directly or indirectly, to make use of the mails or of any means or instrumentality of transportation or communication in interstate commerce for the purpose of effecting on an exchange...
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Stock Exchange Regulation. Hearing ... on H.R. 8720 ... Feb. 14 - Mar. 24, 1934

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 984 lapas
...securities from a national securities exchange. SEC. 13. (a) It shall be unlawful for any person, by the use of the mails or of any means or Instrumentality of interstate commerce or of any facility of any national securities exchange or otherwise, to solicit or to permit...
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Stock Exchange Regulation: Hearing Before the Committee on Interstate and ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 1106 lapas
...SECURITIES EXCHANGES Sao. 29. It shall be unlawful for any broker or dealer, directly or indirectly, to make use of the mails or of any means or instrumentality of transportation or communication in interstate commerce for the purpose of effecting on an exchange...
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Public Utility Holding Company Act of 1935: Hearings, April 16 to 29, 1935

United States. Congress. Senate. Committee on Interstate Commerce - 1935 - 1164 lapas
...believe that such security will be marketed, distributed, or made the subject of a public offering by use of the mails or of any means or instrumentality of interstate commerce; (4) To acquire or negotiate for the acquisition of any security or capital assets, other...
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Trading in Unlisted Securities Upon Exchanges: Hearing Before the Committee ...

United States. Congress. Senate. Committee on Banking and Currency - 1936 - 144 lapas
...That section 15 of the Securities Exchange Act of 1934 is amended to read as follows: "SEC. 15 (a). No broker or dealer shall make use of the mails or...commerce to effect any transaction in, or to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers'...
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Unlisted Securities: Hearing Before the Committee on Interstate and Foreign ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 36 lapas
...or application of such broker or dealer. "(c) No registered broker or dealer, or any other person, shall make use of the mails or of any means or instrumentality...commerce to effect any transaction in, or to induce the purchase or sale of, any security (other than comemrcial paper, bankers' acceptances, or commercial...
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Independent Offices Appropriation Bill for 1938: Hearings Before the ...

United States. Congress. House. Committee on Appropriations - 1937 - 1180 lapas
...of 1934, as amended, no broker or dealer (other than one whose business is exclusively intrastate) shall make use of the mails or of any means or instrumentality of interstate commerce to effect transactions in or to induce the purchase or sale of any security (other than exempted securities)...
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