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" It shall be unlawful for any person, by the use of the mails or by any means or instrumentality of interstate commerce or of any facility of any national securities exchange or otherwise... "
Decisions and Reports - 337. lappuse
autors: United States. Securities and Exchange Commission - 1944
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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 - 1959 - 2024 lapas
...such customer. Prohibition Against Manipulation of Security Prices SECTION 9. (a) It shall be unlawful for any person, directly or indirectly, by the use...interstate commerce, or of any facility of any national a itn-s exchange, or for any member of a uatinnal securities exchange — (1) For the purpose of creating...
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SEC Legislation, Hearings Before a Subcommittee ...,86-1 on S ..., 22-23. sējumi

United States. Congress. Senate. Banking and Currency Committee - 1959 - 658 lapas
...Proxies SECTION 14. (a) It shall be unlawful for any person, by the use of the mails or by any means or instrumentality of interstate commerce or of any facility of any national securities exchange or otherwise to solicit or to permit the use of his name to solicit any proxy or consent or authorization...
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SEC Legislation: Hearings Before a Subcommittee of the Committee on Banking ...

United States. Congress. Senate. Committee on Banking and Currency, United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Securities - 1959 - 660 lapas
...Proxies SECTION 14. (a) It shall be unlawful for any person, by the use of the mails or by any means or instrumentality of interstate commerce or of any facility of any national securities exchange or otherwise to solicit or to permit the use of his name to solicit any proxy or consent or authorisation...
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Securities Acts Amendments, 1959: Hearings Before a Subcommittee of the ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1960 - 442 lapas
...paragraphs (2) and (6) of section 9(a) of the Securities Exchange Act of 1934, as amended, as follows : "(2) To effect, alone or with one or more other persons, [a series of] one or more transactions in any security registered on a national securities exchange creating actual...
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SEC Legislation, 1963: Hearings Before a Subcommittee of the Committee on ...

United States. Congress. Senate. Committee on Banking and Currency - 1963 - 490 lapas
...issuers. Proxies 14. (a) It shall be unlawful for any person, by the use of the mails or by any means or instrumentality of interstate commerce or of any facility of any national securities exchange or otherwise to solicit or to permit the use of his name to solicit any proxy or consent or authorization...
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Conflict of Interest Problems in SBIC's, Hearing Before a ..., 22-23. sējumi

United States. Congress. Senate. Committee on Banking and Currency - 1963 - 166 lapas
...Proxies SECTION 14. (a) It shall be unlawful for any person, by the use of the mails or by any means or instrumentality of interstate commerce or of any facility of any national securities exchange or otherwise to solicit or to permit the use of his name to solicit any proxy or consent or authorization...
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United States Reports: Cases Adjudged in the Supreme Court at ..., 377. sējums

United States. Supreme Court, John Chandler Bancroft Davis, Henry Putzel, Henry C. Lind, Frank D. Wagner - 1964 - 980 lapas
...§78n (a), provides: "It shall be unlawful for any person, by the use of the mails or by any means or instrumentality of interstate commerce or of any facility of any national securities exchange or otherwise to solicit or to permit the use of his name to solicit any proxy or consent or authorization...
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United States Reports: Cases Adjudged in the Supreme Court at ..., 377. sējums

United States. Supreme Court, John Chandler Bancroft Davis, Henry Putzel, Henry C. Lind, Frank D. Wagner - 1964 - 972 lapas
...§78n (a), provides: "It shall be unlawful for any person, by the use of the mails or by any means or Instrumentality of interstate commerce or of any facility of any national securities exchange or otherwise to solicit or to permit the use of his name to solicit any proxy or consent or authorization...
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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
...thereof. Prohibition Against Manipulation of Security Prices 15 USC 781.— (a) It shall be unlawful for any person, directly or indirectly, by the use...or for any member of a national securities exchange — (1) For the purpose of creating a false or misleading appearance of active trading in any security...
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Role of Giant Corporations: Corporate secrecy: ownership and control of ...

United States. Congress. Senate. Select Committee on Small Business. Subcommittee on Monopoly - 1969 - 626 lapas
...indirectly, by the use of the rails or any Beans or Instrumentality of Interstate cosvierce, or of any facility of any national securities exchange,...securities exchange "(2) To effect, alone or with one or store other persons, a series of transactions in any security registered on a national securitiea exchange...
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