| United States. Congress. Senate. Committee on Interstate Commerce - 1935 - 1164 lapas
...statement, or document filed pursuant to this Act, or any rule or regulation thereunder, which statement was at the time and in the light of the circumstances...it was made false or misleading with respect to any material fact; shall be liable In the same manner, to the same extent, and subject to the same limitations... | |
| United States - 1968 - 374 lapas
...proceeding before the Commission with respect to registration, any statement which was at the tune and in the light of the circumstances under which...or misleading with respect to any material fact, or who has omitted to state in any such application or report any material fact which is required to be... | |
| United States. Securities and Exchange Commission - 1936 - 1320 lapas
...to a special class of corporation, ie, public utility holding companies and their subsidiaries.81 Iw time and in the light of the circumstances under which It was made, false or misleading ritb respect to any material fact. Rult LAS. Solicitation of proaiei to T>e filed. A copy of the form... | |
| United States. Congress. Senate. Committee on Finance - 1939 - 1104 lapas
...pursuant to any provisions of this title, or any rule, regulation, or order thereunder, which statement was at the time and in the light of the circumstances...or misleading with respect to any material fact, or who shall omit to state any material fact required to be stated therein or necessary to make the statements... | |
| United States. Congress. House. Committee on Interstate and Foreign Commerce - 1937 - 580 lapas
...pursuant to any provisions of this act, or any rule, regulation, or order thereunder, which statement was at the time and in the light of the circumstances...or misleading with respect to any material fact, or who shall omit to state any material fact required to be stated therein or necessary to make the statements... | |
| United States. Congress. House. Committee on Interstate and Foreign Commerce - 1937 - 580 lapas
...pursuant to any provisions of this act, or any rule, regulation, or order thereunder, which statement was at the time and in the light of the circumstances...or misleading with respect to any material fact, or who shall omit to state any material fact required to be stated therein or necessary to make the statements... | |
| United States. Securities and Exchange Commission - 1947 - 1062 lapas
...to becoming such, or (2) any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing...misleading with respect to any material fact; ... or (D) has willfully violated any provision of the Securities Act of 1933, as amended, or of this title,... | |
| United States. Securities and Exchange Commission - 1940 - 1240 lapas
...public interest and that (1) such broker or dealer whether prior or subsequent to becoming such, or (2) any . . . person directly or indirectly controlling...any material fact; or (B) has been convicted within 10 years preceding the filing of any such application or at any time thereafter of any felony or misdemeanor... | |
| United States. Securities and Exchange Commission - 1950 - 948 lapas
...... (A) has willfully made or caused to be made In any application for registration pursuant to tliin subsection or In any document supplemental thereto...misleading with respect to any material fact ; or ... (D) has wlllfuly violated any provision of the Securltio Act of 1833, as amended, or of this title,... | |
| |