Regulation of Over-the-counter Markets: Hearings Before a Subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Seventy-fifth Congress, Third Session, on S. 3255, H.R. 9634, Bills to Provide for the Establishment of a Merchanism Or Regulation Among Over-the-counter Brokers and Dealers Operating in Interstate and Foreign Commerce Or Through the Mails, Comparable to that Provided by National Securities Exchanges Under the Securities Exchange Act of 1934, and for Other Purposes. April 11, 1938

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15. lappuse - No broker or dealer shall make use of the mails or 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 paper, bankers...
4. lappuse - ... from engaging in or continuing any conduct or practice in connection with any such activity, or in connection with the purchase or sale of any security...
30. lappuse - ... (B) has willfully violated any provision of the Securities Act of 1933, as amended, or of any rule or regulation thereunder, or has effected any transaction for any other person who, he had reason to believe, was willfully violating with respect to such transaction any provision of such Act or rule or regulation...
7. lappuse - (2) after appropriate notice and opportunity for hearing, by order to suspend for a period not exceeding twelve months or to expel from a...
4. lappuse - ... to prevent fraudulent and manipulative acts and practices, to promote just and equitable principles of trade, to provide safeguards against unreasonable profits or unreasonable rates of commissions or other charges, and, in general, to protect investors and the public interest...
45. lappuse - No action shall be maintained to enforce any liability created under this section, unless brought within one year after the discovery of the facts constituting the violation and within three years after such violation.
5. lappuse - ... appear to the Commission to be necessary or appropriate in the public interest or for the protection of investors and to carry out the purposes of this section.
6. lappuse - ... (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 to effect any transaction in, or to induce the purchase or sale of, any security...
4. lappuse - ... any partner, officer, or director, any person occupying a similar status or performing similar functions, or any person directly or indirectly controlling the broker-dealer...
7. lappuse - Commission finds has violated any provision of this title or the rules and regulations thereunder, or has effected any transaction for any other person who, he has...

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