 | United States. Securities and Exchange Commission - 1945 - 1290 lapas
.... Section 15 (c) (1) of the Securities Exchange Act reads, in part: No broker or dealer shall make use of the mails or of any means or instrumentality...transaction In, or to Induce the purchase or sale of, my security . . . otherwise than on a national securities exchange, by means ol any manipulative, deceptive,... | |
 | United States. Securities and Exchange Commission - 1956 - 926 lapas
...sale of any security." Section 15 (c) (1) provides: "No broker or dealer shall make use of the malls or of any means or instrumentality of interstate commerce...or to Induce the purchase or sale of, any security (other than commercial paper, bankers' acceptances, or commercial bills) otherwise than on a national... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1936 - 144 lapas
...Securities Exchange Act of 1934 is amended to read as follows: "SEC. 15 (a). No broker or dealer shall make use of the mails or of any means or instrumentality...or to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers' acceptances or commercial bills, or... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 36 lapas
..."SBC. 15. (a) No broker or dealer (other than one whose business is exclusively intrastate) shall make use of the mails or of any means or instrumentality...or to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers' acceptances, or commercial bills) otherwise... | |
 | 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
...registered securities association or a member thereof shall be liable for failing to deal with any person except upon such terms who such registered...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. 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 - 1938 - 140 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...purchase or sale of, any security otherwise than on (130) a national securities exchange, may become a member of such association, except such as are excluded... | |
 | 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 - 1950 - 948 lapas
...(1) of the Exchange Act provides in pertinent part,: No broker or dealer shall make use of the malls or of any means or instrumentality of interstate commerce...otherwise than on a national securities exchange, by means of any manipulative, deceptive, or other fraudulent device or contrivance . . . Rule X-15C1-2,... | |
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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 the purchase or sale of, any security (other than commercial paper, bankers... 
