 It shall be unlawful for any person In the 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,...  Decisions and Reports - 349. lappuseautors: United States. Securities and Exchange Commission - 1944Pilnskats - Par šo grāmatu
 | Patrick D. Dolan, C. VanLeer Davis - 2000 - 1220 lapas
...securities or any security-based swap agreement (as defined in section 206B of the Gramm-Leach-Bliley Act) by the use of any means or instruments of transportation or communication in interstate commerce or by use of the mails, directly or indirectly — (1) to employ any device, scheme, or artifice to defraud,... | |
 | Hassan El Shamsy - 2001 - 396 lapas
...Securities Act of 1933 which every investor should be aware of: It shall be unlawful for any person, by the use of any means or instruments of transportation...in interstate commerce or by the use of the mails, to publish, give publicity to, or circulate any notice, circular, advertisement, newspaper, article,... | |
 | United States - 2001 - 860 lapas
...securities or any security-based swap agreement (as defined hi section 206B of the Gramm-Leach-Bliley Act) by the use of any means or instruments of transportation or communication in interstate commerce or by use of the mails, directly or indirectly — 71-377 2001-2 (1) to employ any device, scheme, or artifice... | |
 | 2001 - 1104 lapas
...attorneys, and those persons in active concert or participation with them and each of them, in the offer or sale of any securities by the use of any means or instruments THE APPLET REE COMPANIES, INC. ffk/a MODAMI SERVICES, INC., MICHAEL H. SALIT, DAVID B. LOBEL, PAUL... | |
 | Erhan Seyfi Moroğlu - 2003 - 372 lapas
...operates or would operate as a fraud or deceit upon the purchaser. b. It shall be unlawful for any person, by the use of any means or instruments of transportation...in interstate commerce or by the use of the mails, to publish, give publicity to, or circulate any notice, circular, advertisement, newspaper, article,... | |
 | United States. Congress. Senate. Committee on Governmental Affairs - 2003 - 872 lapas
...indirectly, in connection with the offer or sale of securities, by the use of the means or instruments of transportation or communication in interstate commerce or by the use of the mails: with scienter, employed devices, schemes, or artifices to defraud, obtained money or property by means... | |
 | Douglas L. Hammer - 2005 - 398 lapas
...securities or any security-based swap agreement (as defined in section 206B of the Graham-Leach-Bliley Act) by the use of any means or instruments of transportation or communication in interstate commerce or by use of the mails, directly or indirectly — (1) to employ any device, scheme or artifice to defraud,... | |
 | United States. Securities and Exchange Commission - 1812 lapas
...fraud or deceit upon the purchaser. The act further provides that it shall be unlawful for any person, by the use of any means or instruments of transportation...in interstate commerce or by the use of the mails, to publish, give publicity to, or circulate any notice, circular, advertisement, newspaper, article,... | |
 | 1933 - 690 lapas
...or would operate as a fraud or deceit upon the purchaser. (b) It shall be unlawful for any person, by the use of any means or instruments of transportation...in interstate commerce or by the use of the mails, to publish, give publicity to, or circulate any notice, circular, advertisement, newspaper, article,... | |
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