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" ... (a) to employ any device, scheme or artifice to defraud, (b) to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were... "
General Rules and Regulations Under the Securities Exchange Act of 1934, as ... - 18. lappuse
autors: United States. Securities and Exchange Commission - 1955
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State and Municipal Securities Regulations. Hearings ... on H.R. 693 ... Feb ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1945 - 138 lapas
...You may do so. (The section referred to is as follows:) SEC. 10. It shall be unlawful for any person, directly or indirectly, by the use of any means or...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...
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State and Municipal Securities Regulations: Hearings Before the Committee on ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1945 - 174 lapas
...enacted— and it has never been amended — provides that — "It shall be unlawful for any person, directly or indirectly, by the use of any means or...or of the mails, or of any facility of any national securities exchange — and regulations as the Commission may prescribe as necessary or appropriate...
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State and Municipal Securities Regulations. Conference Between a ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1946 - 64 lapas
...section 10 (b) in, as well? Mr. RANDOLPH. Section 10 is as follows: It shall be unlawful for any person, directly or indirectly, by the use of any means or...or of the mails, or of any facility of any national securities exchange — (a) To effect a short sale, or to use or employ any stop-loss order in connection...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1978 - 1252 lapas
...8, 1955. §21(UOb .'{ Employment of manipulative and deceptive devices, by brokers or dealers. (a) It shall be unlawful for any broker or dealer, directly...commerce, or of the mails, or of any facility of any natkrhal securities exchange, to use or employ, in connection with the purchase or sale of any security...
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The Code of Federal Regulations of the United States of America

1971 - 660 lapas
..."manipulative or deceptive device or contrivance", as used in section 10 (b) of the act, for any such person, directly or indirectly, by the use of any means or...any facility of any national securities exchange, to effect, either alone or with one or more other persons, any transaction or series of transactions prohibited...
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The Code of Federal Regulations of the United States of America

1985 - 688 lapas
...broker, dealer, or other person who has agreed to participate or is participating in such a distribution, directly or indirectly, by the use of any means or...or of the mails, or of any facility of any national securities exchange, either alone or with one or more other persons, to bid for or purchase for any...
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The Code of Federal Regulations of the United States of America

1981 - 668 lapas
...security registered on a national securities exchange, and the use of any means or instrumentality of interstate commerce or of the mails or of any facility...any national securities exchange to use or employ any such device or contrivance in connection with the purchase or sale of any such security is hereby...
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Code of Federal Regulations: Containing a Codification of Documents of ...

2000 - 986 lapas
...security registered on a national securities exchange, and the use of any means or Instrumentality of Interstate commerce or of the mails or of any facility...any national securities exchange to use or employ any such device or contrivance in connection with the purchase or sale of any such security is hereby...
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Code of Federal Regulations: Containing a Codification of Documents of ...

2002 - 1016 lapas
...security registered on a national securities exchange, and the use of any means or instrumentality of interstate commerce or of the mails or of any facility...any national securities exchange to use or employ any such device or contrivance in connection with the purchase or sale of any such security is hereby...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1979 - 1804 lapas
...for any issuer of a class of securities publicly traded by the use of any means or instrumentality of interstate commerce or of the mails or of any facility of any national securities exchange to fail to give notice in accordance with paragraph (b) of this section of the following actions relating...
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