 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...  Investor Protection: Hearings Before a Subcommittee of the Committee on ... - 43. lappuseautors: United States. Congress. House. Committee on Interstate and Foreign Commerce, United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1964 - 1418 lapasPilnskats - Par šo grāmatu
 | United States. Securities and Exchange Commission - 1945 - 1290 lapas
...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 - 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. 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 - 1968 - 374 lapas
...the end of paragraphs (1) through (8) are stricken out and periods are inserted in lieu thereof. (2) Paragraph (3) thereof is amended to read as follows:...association, except such as are excluded pursuant to paragraph (4) or (5) of this subsection, or a rule of the association permitted under this paragraph.... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1936 - 144 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...or to induce the purchase or sale of, any security (other than commercial paper, bankers' acceptances or commercial bills, or unregistered securities... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 36 lapas
...dealer. "(c) No registered broker or dealer, or any other person, shall make use of the mails or of any means or instrumentality of interstate commerce...or to induce the purchase or sale of, any security (other than comemrcial paper, bankers' acceptances, or commercial bills) otherwise than on a national... | |
 | United States. Congress. House. Committee on Appropriations - 1937 - 1490 lapas
...mails, or of any facilitity of any national securities exchange, to use or employ, in connection with the purchase or sale of any security otherwise than on a national securities exchange, any act, practice, or course of business defined by the Commission to be included within the term "manipulative,... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1938 - 148 lapas
..."(3) the rules of the association provide that any broker or dealer who makes use of the mails or of any means or instrumentality of interstate commerce...association, except such as are excluded pursuant to paragraph (4) of this subsection: Provided, That the rules of the association may restrict membership... | |
 | United States. Securities and Exchange Commission - 1952 - 920 lapas
...(3) the rules of the association provide that any broker or dealer who makes use of the mails or of any means or instrumentality of interstate commerce...association, except such as are excluded pursuant to paragraph (4) of this subsection: Provided, that the rules of the association may restrict membership... | |
 | United States. Securities and Exchange Commission - 1941 - 1124 lapas
...• the rules of the association provide that any broker or dealer who makes use of the malls or of any means or Instrumentality of Interstate commerce...association, except such as are excluded pursuant to paragraph (4) of this subsection : Proviitd, That the rules of the association may restrict membership... | |
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