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" ... (a) to employ any device, scheme or artifice to defraud, (b) to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were... "
General Rules and Regulations Under the Securities Exchange Act of 1934, as ... - 18. lappuse
autors: United States. Securities and Exchange Commission - 1955
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United States Reports: Cases Adjudged in the Supreme Court at ..., 445. sējums

United States. Supreme Court, John Chandler Bancroft Davis, Henry Putzel, Henry C. Lind, Frank D. Wagner - 1979 - 996 lapas
...SEC promulgated Rule 10b-5 which provides in pertinent part: ' "It shall be unlawful for any person, directly or indirectly, by the use of any means or...or of the mails or of any facility of any national securities exchange, 3 Section 32 (a) of the 1934 Act sanctions criminal penalties against any person...
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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
...shall be unlawful for any person, directly or indirectly, by use of any means or Instrumentality of interstate commerce or of the mails or of any facility of any national securities exchange— (a) To effect the sale of any security registered on a national securities 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
...shall be unlawful for any person, directly or Indirectly, by use of any means or instrumentality of interstate commerce or of the mails or of any facility of any national securities exchange — (a) To effect a short sale of any security registered on a national securities...
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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
...shall be unlawful for any person, directly or indirectly, by use of any means or instrumentality of interstate commerce or of the mails or of any facility of any national securities exchange — (a) To effect the sale of any security registered on a national securities...
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Independent Offices Appropriation Bill for 1939: Hearings Before the ...

United States. Congress. House. Committee on Appropriations - 1937 - 1490 lapas
...RULE GB3. Employment of manipulative and deceptive devices.- — It shall be unlawful for any b-oker or dealer, directly or indirectly, by the use of any...instrumentality of interstate commerce, or of the mails, or of any facilitity of any national securities exchange, to use or employ, in connection with the purchase...
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Decisions and Reports, 28. sējums

United States. Securities and Exchange Commission - 1955 - 1022 lapas
...or appropriate in the public interest or for the protection of investors. " Rule X-10B- 3 provides: 'It shall be unlawful for any broker or dealer, directly...commerce, or of the mails, or of any facility of any nation fl securities exchange, to use or employ, in connection with the purchase or sale of any security...
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Securities Exchange Act of 1934: And Amendments Public--no. 291--73d ...

United States - 1938 - 48 lapas
...REGULATION OF THE USE OF MANIPULATIVE AND DECEPTIVE DEVICES SEC. 10. It shall be unlawful for any person, directly or indirectly, by the use of any means or...or of the mails, or of any facility of any national securities exchange — (a) To effect a short sale, or to use or employ any stop-loss order in connection...
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Decisions and Reports, 27. sējums

United States. Securities and Exchange Commission - 1953 - 1110 lapas
...(b) of the Securities Exchange Act of 1934 provides in part: "It shall be unlawful for any person, directly or indirectly, by the use of any means or...or of the mails, or of any facility of any national securities exchange, • • » • • "(b) To use or employ, in connection with the purchase or sale...
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Decisions and Reports, 30. sējums

United States. Securities and Exchange Commission - 1956 - 1016 lapas
...Section 10 of the Securities Exchange Act of 1934 provides in part: "It shall be unlawful for any person, directly or indirectly, by the use of any means or...commerce or of the mails, or of any facility of any nationaJ securities exchange — *•*••• • "(o) To use or employ, in connection with the purchase...
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United States Code, 2. sējums

United States - 1953 - 1692 lapas
...action, see rule 2. § 78j. Manipulative and deceptive devices. It shall be unlawful for any person, directly or indirectly, by the use of any means or...or of the mails, or of any facility of any national securities exchange — (a) To effect a short sale, or to use or employ any stop-loss order in connection...
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