 | United States. Securities and Exchange Commission - 1956 - 926 páginas
...would operate as a fraud or deceit upon the purchaser." Section 10 (b) provides : "It shall be unlawful for any person, directly or Indirectly, by the use of any means or Instrumentality of Interstate commerce or of the malls, or of any facility of any national securities... | |
 | United States. Congress. House. Committee on Appropriations - 1937 - 1490 páginas
...Employment of manipulative and deceptive devices.- — It shall be unlawful for any b-oker or dealer, directly or indirectly, by the use of any means or...instrumentality of interstate commerce, or of the mails, or of any facilitity of any national securities exchange, to use or employ, in connection with the purchase... | |
 | United States. Securities and Exchange Commission - 1956 - 1016 páginas
...purchaser." Section 10 of the Securities Exchange Act of 1934 provides in part: "It shall be unlawful for any person, directly or indirectly, by the use...commerce or of the mails, or of any facility of any nationaJ securities exchange — *•*••• • "(o) To use or employ, in connection with the purchase... | |
 | United States. Securities and Exchange Commission - 1955 - 1022 páginas
...protection of investors. " Rule X-10B- 3 provides: 'It shall be unlawful for any broker or dealer, directly or indirectly, by the use of any means or...commerce, or of the mails, or of any facility of any nation fl securities exchange, to use or employ, in connection with the purchase or sale of any security... | |
 | United States. Securities and Exchange Commission - 1955 - 920 páginas
...Interest or for the protection of Investors." Bule X-103-5 provides as follows: "It shall be unlawful for any person, directly or indirectly, by the use of any means or Instrumentality of Interstate commerce, or of the malls, or of any facility of any national securities... | |
 | United States. Securities and Exchange Commission - 1953 - 824 páginas
...are manipulative, deceptive, or otherwise fraudulent. Rule X-10B-5 provides : It shall be unlawful for any person, directly or Indirectly, by the use of any means or Instrumentality of Interstate commerce, or of the malls, . . . (1) to employ any device, scheme, or... | |
 | 1978 - 1252 páginas
...manipulative and deceptive devices, by brokers or dealers. (a) It shall be unlawful for any broker or dealer, directly or indirectly, by the use of any means or...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... | |
 | 1987 - 530 páginas
...Securities Exchange Act of 1934 (15 USC 78j(b)) and Rule 10b-5 thereunder (17 CFR Part 240), it is unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce or of the mails, to use sales literature which is materially... | |
 | 1977 - 958 páginas
...June 4. 1968] § 240.1 Ob— 5 Employment of manipulative and deceptive device*. It shall be unlawful for any person, directly or Indirectly, by the use of any means or instrumentality of interestate commerce, or of the malls or of any facility of any national securities... | |
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It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any national securities exchange, "(a) To employ any device, scheme, or artifice to defraud. 
