General Rules and Regulations Under the Securities Exchange Act of 1934, as AmendedU.S. Government Printing Office, 1946 |
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account of customers admission to dealing annual report pursuant application for registration applications filed appropriate form bankruptcy become effective beneficial owner broker or dealer certificates certificates of deposit class of securities Commission copies corporation deemed device or contrivance directly or indirectly equity security exempt security filed on form filed pursuant financial statements fiscal form 1-M furnished hypothecation Interstate Commerce Act Investment Company Act issued issuer Item listed and registered listed security ment Motor Carrier Act national securities exchange nominee notice operation of section partnership period permanent registration person prior promptly protection of investors proxy statement pursuant to rule pursuant to section regis registered partnership registered pursuant registration of securities registration statement section 12 Securities Act securities carried Securities Exchange Act security exempted security holders solicitation specified stabilizing suant subsidiary thereof thereto tion transaction unissued security unissued warrant unless unlisted trading privileges voting trust
Populāri fragmenti
1197. lappuse - ... (1) to employ any device, scheme, or artifice to defraud, or (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or (3) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.
1197. lappuse - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange...