 | 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 - 144 lapas
...security association or member in good faith believe to be a nonmember, broker or dealer, as so defined. "(2) For the purposes of this subsection, the term...exchange, who is not a member of any registered securities associationexcept a broker or dealer who deals exclusively in commercial paper, bankers' acceptances,... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 98 lapas
...thereunder, and to carry out the purposes of this section; "(3) the rules of the association provide that any broker or dealer who makes use of the mails or...otherwise than on a national securities exchange, may become a member of such association, except such as are excluded pursuant to paragraph (4) of this... | |
 | United States. Securities and Exchange Commission - 1941 - 1192 lapas
...accordance with Section 15A (b) (3), the rules of the association obligate it to admit to membership "any broker or dealer who makes use of the mails or...otherwise than on a national securities exchange," except such as are excluded by Section 15A (b) (4). Section 15A (b) (4) provides as follows : An applicant... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1938 - 148 lapas
...thereunder, and to carry out the purposes of this section ; "(3) the rules of the association provide that any broker or dealer who makes use of the mails or...otherwise than on a national securities exchange, may become a member of such association, except such as are excluded pursuant to paragraph (4) of this... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1938 - 138 lapas
...thereunder, and to carry out the purposes of this section; "(3) the rules of the association provide that any broker or dealer who makes use of the mails or...otherwise than on a national securities exchange, may become a member of such association, except such as are excluded pursuant to paragraph (4) of this... | |
 | United States - 1938 - 48 lapas
...thereunder, and to carry out the purposes of this section; (3) the rules of the association provide that any broker or dealer who makes use of the mails or...otherwise than on a national securities exchange, may become a member of such association, except such as are excluded pursuant to paragraph (4) of this... | |
 | United States. Securities and Exchange Commission - 1956 - 900 lapas
...thereunder, and to carry out the purposes of this section ; (3) the rules of the association provide that any broker or dealer who makes use of the mails or...otherwise than on a national securities exchange, may become a member of such association, except such as are excluded pursuant to paragraph (4) of this... | |
 | United States. Securities and Exchange Commission - 1947 - 1062 lapas
...15 (c) (1) of the Securities Exchange Act of 1934 provides in part: No broker or dealer shall make use of the mails or of any means or instrumentality...otherwise than on a national securities exchange, by mean* of any manipulative, deceptive, or other fraudulent device or contrivance. The Commission... | |
 | United States. Securities and Exchange Commission - 1956 - 1016 lapas
...Section IB (c) (1) of the Securities Exchange Act of 1934 provides: "No broker or dealer shall make use of the mails or of any means or instrumentality...otherwise than on a national securities exchange, by means of any manipulative, deceptive, or other fraudulent device or contrivance. The Commission... | |
| |
... (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... 
