Decisions and Reports, 31. sējumsU.S. Government Printing Office, 1956 |
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191. 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.
191. lappuse - Unless a registration statement is in effect as to a security, it shall be unlawful for any person, directly or indirectly — ( 1 ) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails...
819. lappuse - ... or from engaging in or continuing any conduct or practice in connection with any such activity or in connection with the purchase...
727. lappuse - It shall be unlawful for any person in the offer or sale of any securities by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails, directly or indirectly — (1) to employ any device, scheme, or artifice to defraud, or...
370. lappuse - ... (1) such holding company, and every subsidiary company thereof which is a public-utility company from which such holding company derives, directly or indirectly, any material part of its income, are predominantly intrastate in character and carry on their business substantially in a single State in which such holding company and every such subsidiary company thereof are organized...
727. 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 — [b] To use or employ, in connection with the purchase or sale of any security registered on a national securities exchange or any security not so registered...
727. lappuse - No broker or dealer shall make use of the mails or of 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...
312. lappuse - ... voting-trust certificates, or collateral-trust certificates, or with respect to certificates of interest or shares in an unincorporated investment trust not having a board of directors (or persons performing similar functions) or of the fixed, restricted management, or unit type, the term "issuer...
viii. lappuse - Securities Exchange Act of 1934," "Public Utility Holding Company Act of 1935," and "Investment Company Act of 1940" mean the federal statutes of those names as amended before or after the effective date of this act.
498. lappuse - It shall be unlawful for any member of a national securities exchange or any broker or dealer who transacts a business in securities through the medium of...