 | United States. Securities and Exchange Commission - 1956 - 926 lapas
...agency or officer of the United State*; (4) from employing any device, scheme or artifice to defraud, or from engaging in any transaction, practice or course of business which would operate as a fraud or deceit upon the purchasers of any security, Involving : any misrepresentations... | |
 | United States. Securities and Exchange Commission - 1960 - 996 lapas
...Commission2 from employing any device, scheme and artifice to defraud a client or prospective client, or from engaging in any transaction, practice or course of business which operates or would operate as a fraud or deceit upon any client or prospective client in violation of Sections... | |
 | United States. Securities and Exchange Commission - 1962 - 1022 lapas
...registered investment adviser to use the malls or the Instruments of Interstate commerce to engage In any transaction, practice or course of business which operates as a fraud or deceit upon any client or prospective client. *SDNT, Civil Action no. 139-230. aimed services... | |
 | United States - 1983 - 1152 lapas
...artifice to defraud any client or participant or prospective client or participant; or (B) to engage in any transaction, practice, or course of business which operates as a fraud or deceit upon any client or participant or prospective client or participant. (2) It shall be... | |
 | United States - 1975 - 1706 lapas
...artifice to defraud any client or participant or prospective client or participant; or (B) to engage > fraud or deceit upon any client or participant or prospective client or participant. (2) It shall be... | |
 | United States. Congress. Senate. Agriculture and Forestry Committee - 1949 - 128 lapas
...artifice to defraud any client or participant or prospective client or participant; or "(B) to engage in any transaction, practice, or course of business which operates as a fraud or deceit upon any client o{ participant or prospective client or participant. SEC. 8. Section... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1953 - 854 lapas
...to employ any device, scheme, or artifice to defraud any client or prospective client; (2) to engage in any transaction, practice, or course of business which operates as a fraud or deceit upon any client or prospective client; (3) acting as principal for his own account,... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1959 - 658 lapas
...to employ any device, scheme, or artifice to defraud any client or prospective client; (2) to engage in any transaction, practice, or course of business which operates as a fraud or deceit upon any client or prospective client ; (3) acting as principal for his own account,... | |
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... any device, scheme, or artifice to defraud any client or prospective client; (2) to engage in any transaction, practice, or course of business which operates as a fraud or deceit upon any client or prospective client... 
