 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. lappuseautors: United States. Securities and Exchange Commission - 1944Pilnskats - Par šo grāmatu
 | United States, United States. Congress. House. Committee on Energy and Commerce - 1985 - 510 lapas
...investors. PROHIBITION AGAINST MANIPULATION OF SECURITY PRICES SEC. 9. [78i] (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... | |
 | United States, United States. Congress. House. Committee on Energy and Commerce - 1991 - 636 lapas
...(h) LIMITATIONS ON PRACTICES THAT AFFECT MARKET VOLATILITY. — It shall be unlawful for any person, by the use of the mails or any means or instrumentality...interstate commerce or of any facility of any national securities exchange, to use or employ any act or practice in connection with the purchase or sale of... | |
 | United States - 1987 - 556 lapas
...investors. PROHIBITION AGAINST MANIPULATION OF SECURITY PRICES SEC. 9. [78i] (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... | |
 | United States, United States. Congress. House. Committee on Energy and Commerce - 1993 - 656 lapas
...(h) LIMITATIONS ON PRACTICES THAT AFFECT MARKET VOLATILITY. — It shall be unlawful for any person, by the use of the mails or any means or instrumentality...interstate commerce or of any facility of any national securities exchange, to use or employ any act or practice in connection with the purchase or sale of... | |
 | United States, United States. Congress. House. Committee on Energy and Commerce - 1993 - 660 lapas
...(h) LIMITATIONS ON PRACTICES THAT AFFECT MARKET VOLATILITY. — It shall be unlawful for any person, by the use of the mails or any means or instrumentality...interstate commerce or of any facility of any national securities exchange, to use or employ any act or practice in connection with the purchase or sale of... | |
 | United States - 1999 - 740 lapas
...investors. PROHIBITION AGAINST MANIPULATION OF SECURITY PRICES SEC. 9. [78i] (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... | |
 | United States - 1997 - 776 lapas
...(h) LIMITATIONS ON PRACTICES THAT AFFECT MARKET VOLATILITY. — It shall be unlawful for any person, by the use of the mails or any means or instrumentality...interstate commerce or of any facility of any national securities exchange, to use or employ any act or practice in connection with the purchase or sale of... | |
 | James Walsh - 1998 - 331 lapas
...securities.) Specifically, Rule 10b-5 states: It shall be unlawful for any person, ...by use of the mails or instrumentality of interstate commerce.. .or of any facility of any national securities exchange , 1 ) to employ any device , scheme or artifice to defraud; 2) to make any untrue... | |
 | Griffith Borgeson - 2005 - 282 lapas
...every one of them be and they hereby are permanently enjoined and restrained: (A) l:rom effecting, directly or indirectly, by the use of the mails or...interstate commerce or of any facility of any national securities exchange, alone or with each other or with any one or more persons, any series of transactions... | |
 | Robert Walker - 2006 - 462 lapas
...a broker-dealer from entering bona fide agency cross transactions for its customers; (3) Effecting, alone or with one or more other persons, a series of transactions in any security creating actual or apparent active trading in such security or raising or depressing the price of such... | |
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