 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 or attempt to induce the purchase or sale of, any security (other than an exempted security or commercial...  Decisions and Reports - 319. lappuseautors: United States. Securities and Exchange Commission - 1943Pilnskats - Par šo grāmatu
 | United States. Securities and Exchange Commission - 1945 - 1290 lapas
...(1) of the Securities Exchange Act reads, in part: No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce...transaction In, or to Induce the purchase or sale of, my security . . . otherwise than on a national securities exchange, by means ol any manipulative, deceptive,... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 984 lapas
...transacts a business in securities through the medium of a member or through the use of the mails or any means or instrumentality of interstate commerce to effect any transaction in a security by use of any facility of a national securities exchange or otherwise, (1) if in connection... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 1106 lapas
...transacts a business in securities through the medium of a member or through the use of the mails or any means or instrumentality of interstate commerce to effect any transaction in a security by use of any facility of a national securities exchange or otherwise, (1) if In connection... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1936 - 140 lapas
...Commission. "(c) No registered broker or dealer, nor any other person, shall make use of the mails or of any means or instrumentality of interstate commerce...commercial paper, bankers' acceptances or commercial bills, or unregistered securities the market in which is predominantly intrastate and which have not previously... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1936 - 144 lapas
...of 1934 is amended to read as follows: "SEC. 15 (a). No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce...the purchase or sale of, any security (other than an exempted security or commercial paper, bankers' acceptances or commercial bills, or unregistered... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 36 lapas
...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...the purchase or sale of, any security (other than an exempted security or commercial paper, bankers' acceptances, or commercial bills) otherwise than... | |
 | United States. Congress. House. Committee on Appropriations - 1937 - 1180 lapas
...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) otherwise than on a national securities exchange, unless such broker or dealer... | |
 | United States. Securities and Exchange Commission - 1956 - 1016 lapas
...15 (e) (1) of the Securities Exchange Act provides: "No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce...than on a national securities exchange, by means of nny manipulative, deceptive, or other fraudulent device or contrivance. The Commission shall, for the... | |
 | United States. Securities and Exchange Commission - 1950 - 856 lapas
...term is used in section 15 (c) (1) of the Act." ' Section 15 (c) (1) of the Securities Exchange Act provides : No broker or dealer shall make use of the...or to induce the purchase or sale of any security . . . otherwise than on a national securities exchange, by mean* of any manipulative, deceptive, or... | |
 | United States. Securities and Exchange Commission - 1957 - 1194 lapas
...Exchange Act provides: "No broker or dealer (other than one whose business is exclusively intrastate) shall make use of the malls or of any means or instrumentality...the purchase or sale of, any security (other than an exempted security or commercial paper, bankers' acceptances, or commercial bills) otherwise than... | |
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