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" manipulative, deceptive, or other fraudulent device or contrivance," as used in section 15 (c) (1) of the act, is hereby defined to include any act of any broker or dealer... "
General Rules and Regulations Under the Securities Exchange Act of 1934, as ... - Página 1
por United States. Securities and Exchange Commission - 1942
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Decisions and Reports, Volumen11

United States. Securities and Exchange Commission - 1945 - 1290 páginas
...: or course of business which operates or would operate as a fraud or deceit upon any person. "(h) The- term 'manipulative, deceptive, or other fraudulent...contrivance,' as used In Section 15 (c) (1) of the Act, la hereby defined to Include any untrue statement of a material fact and any omission to state a material...
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Decisions and Reports, Volumen31

United States. Securities and Exchange Commission - 1956 - 926 páginas
...practice, or course of business which operates or would operate as a fraud or deceit upon any person. "(b) The term 'manipulative, deceptive, or other fraudulent...as used in section 15 (c) (1) of the Act, Is hereby denned to Include any untrue statement of a material fact and any omission to state a material fact...
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Independent Offices Appropriation Bill for 1939: Hearings Before the ...

United States. Congress. House. Committee on Appropriations - 1937 - 1490 páginas
...the giving or sending of written disclosure at or before the completion of the transaction. RULE MC6. Disclosure of interest in distributions. — The term...device or contrivance," as used in section 15 (c) of the act, is hereby defined to include any act of any broker who is acting for a customer or for...
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Decisions and Reports, Volumen24

United States. Securities and Exchange Commission - 1953 - 734 páginas
...upon any person, In connection with the purchase or sale of any security. Bale X-15C1-2 provides : (a) The term "manipulative, deceptive, or other fraudulent...of the Act, Is hereby defined to Include any act, practice, or course of business which operates or would operate ns a fraud or deceit upon any person....
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Decisions and Reports

United States. Securities and Exchange Commission - 1941 - 1690 páginas
...practice, or course of business which operates or would operate as a fraud or deceit npon any person. (b) The term "manipulative, deceptive, or other fraudulent...(c) (1) of the Act, Is hereby defined to Include any untrue statement of a material fact and any omission to state a material fact necessary In order to...
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Decisions and Reports, Volumen25

United States. Securities and Exchange Commission - 1953 - 828 páginas
...practice, or course of business which operates or would operate as a fraud or deceit upon any person. "(b) The term 'manipulative, deceptive, or other fraudulent...(c) (1) of the Act, Is hereby defined to Include any untrue statement of a material fact and any omission to state a material fact necessary In order to...
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Decisions and Reports, Volumen23

United States. Securities and Exchange Commission - 1953 - 824 páginas
...practice, or course of business which operates or would operate as a fraud or deceit upon any person. (b) The term "manipulative, deceptive, or other fraudulent...(c) (1) of the Act, Is hereby defined to Include any untrue statement of a material fact and any omission to state a material fact necessary in order to...
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Decisions and Reports, Volumen16

United States. Securities and Exchange Commission - 1950 - 856 páginas
...disclosure a pro forma statement is meaningless and deceptive. Rule X-15C1-9 accordingly provides: The term "manipulative, deceptive, or other fraudulent...or contrivance," as used In Section 15 (c) (1) of tbe Act, Is hereby defined to Include the use of financial statements purporting to give effect to...
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Decisions and Reports, Volumen19

United States. Securities and Exchange Commission - 1951 - 862 páginas
...would operate as a fraud or deceit upon any person. Rule X-15C1-2 adopted thereunder provides: "(b) The term 'manipulative, deceptive, or other fraudulent...device or contrivance,' as used in section 15 (c) (I) of the Act, is hereby defined to include any untrue statement of a material fact and any omiation...
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Decisions and Reports, Volumen15

United States. Securities and Exchange Commission - 1949 - 1134 páginas
...any persc-c. "(b) The term 'manipulative, deceptive, or other fraudulent device or contrivance,' u used in Section 15 (c) (1) of the Act, is hereby defined to include any untrue statement d « material fact and any omission to state a material fact necessary in order to...
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