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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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Comptroller's Manual for National Banks: Laws, Regulations, Rulings

United States. Office of the Comptroller of the Currency - 1966 - 480 lapas
...of the Use of Manipulative and Deceptive Devices 15 USC 78j.— 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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Compilation of Releases, Commission Opinions, and Other Material Dealing ...

United States. Securities and Exchange Commission - 1967 - 112 lapas
...General Rules and Regulations under the Securities Exchange Act of 1934 makes it unlawful for any person, directly or indirectly, by the use of any means or...any facility of any national securities exchange, to employ any device, scheme or artifice to defraud in connection with the purchase or sale of any security,...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1967 - 1182 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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Full Disclosure of Corporate Equity Ownership and in Corporate Takeover Bids ...

United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Securities - 1967 - 290 lapas
...Seeuriites Exchange Act relates only to transactions involving "the use of any means or instrumentality of interstate commerce or of the mails, or of any facility of any national securities exchange", it would appear that the scope of any rule adopted pursuant to that section should...
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Ius Privatum Gentium, 1-2. sējumi

Ernst von Caemmerer, Soia Mentschikoff, Konrad Zweigert - 1969 - 658 lapas
...the public interest or for the protection of investors." 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, 1. to employ any device, scheme, or artifice to defraud, 2. to make any untrue...
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Securities Markets Agencies: Hearings, Ninety-first Congress, First Session

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1969 - 466 lapas
...Issuer, any class of whose securities are 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 provide personnel and facilities which are reasonably designed to effectuate prompt issuance,...
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Securities Markets Agencies, Hearings Before the Subcommittee on Commerce ...

United States. Congress. House. Interstate and Foreign Commerce - 1969 - 570 lapas
...issuer, any class of whose securities are publicly traded by the use of any means or instrumentality oí interstate commerce, or of the mails, or of any facility of any national securities exchange, to fail to provide personnel and facilities which are reasonably designed to effectuate prompt issuance,...
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Consumer Protection Act of 1970, Hearings... 91-2, on S. 3201, August 27, 28 ...

United States. Congress. Senate. Judiciary - 1970 - 528 lapas
...Exchange Act of 1934 gave a very similar authorization to the SEC : "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 security...
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The Local Economic Development Corporation; Legal and Financial Guidelines

Practising Law Institute, United States. Economic Development Administration - 1971 - 302 lapas
...USC 78a et seq. in 15 USC 77aet seq. 11 Section 10(b) provides: "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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Hearings, Reports and Prints of the Senate Committee on Banking and Currency

United States. Congress. Senate. Committee on Banking and Currency - 1970 - 1242 lapas
...account through a broker or otherwise, shall knoiringJ-n make use (if any means or instrumentality of interstate commerce or of the mails, or of any facility of any national securities exchange, to execute or cause to be executed, or to effect or cause to be effected, directly or indirectly, any...
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