 | United States. Congress. Senate. Committee on Banking and Currency - 1933 - 1262 páginas
...shall be unlawful for any person, directly or indirectly, by use of any means or Instrumentality of interstate commerce or of the mails or of any facility of any national securities exchange— (a) To effect the sale of any security registered on a national securities exchange,... | |
 | United States. Congress. Senate. Interstate and Foreign Commerce Committee - 1934 - 972 páginas
...shall be unlawful for any person, directly or Indirectly, by use of any means or instrumentality of interstate commerce or of the mails or of any facility of any national securities exchange — (a) To effect a short sale of any security registered on a national securities... | |
 | United States. Congress. House. Committee on Appropriations - 1937 - 1490 páginas
...RULE GB3. Employment of manipulative and deceptive devices.- — It shall be unlawful for any b-oker or dealer, directly or indirectly, by the use of any...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 - 1955 - 1022 páginas
...or appropriate in the public interest or for the protection of investors. " Rule X-10B- 3 provides: 'It shall be unlawful for any broker or dealer, directly...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 - 1938 - 48 páginas
...REGULATION OF THE USE OF MANIPULATIVE AND DECEPTIVE DEVICES SEC. 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 — (a) To effect a short sale, or to use or employ any stop-loss order in connection... | |
 | United States. Securities and Exchange Commission - 1953 - 1110 páginas
...(b) of the Securities Exchange Act of 1934 provides in part: "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... | |
 | United States. Securities and Exchange Commission - 1956 - 1016 páginas
...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 of any means or...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 - 1953 - 1692 páginas
...action, see rule 2. § 78j. Manipulative and deceptive devices. 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... | |
| |
... (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... 
