Nomination of William J. Casey: Hearings, Ninety-second Congress, First Session, on the Nomination of William J. Casey to be a Member of the Securities and Exchange Commission. February 10 and March 9, 1971, Volúmenes22-23

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Página 444 - 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...
Página 445 - manipulative, deceptive, or other fraudulent device or contrivance," as used in section 15 (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 make the statements made, in the light of the circumstances under which they are made, not misleading, which statement or omission is made with knowledge or reasonable grounds to believe that it is untrue or misleading. (<?) The scope of this rule shall not...
Página 756 - ... (1) to employ any device, scheme, or artifice to defraud, or (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or (3) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.
Página 445 - 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 facility of any national securities exchange— [b] To use or employ, in connection with the purchase or sale of any security registered on a national securities exchange or any security not so registered...
Página 635 - Any issuer whose outstanding securities (other than short-term paper) are beneficially owned by not more than one hundred persons and which is not making and does not presently propose to make a public offering of its securities.
Página 444 - ... security which involves no change in the beneficial ownership thereof, or (B) to enter an order or orders for the purchase of such security with the knowledge that an order or orders of substantially the same size, at substantially the same time, and at substantially the same price, for the sale of any such security, has been or will be entered by or for the same or different parties...
Página 445 - No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security (other than commercial paper, bankers...
Página 725 - SEC. 22. (a) A securities association registered under section 15A of the Securities Exchange Act of 1934 may prescribe, by rules adopted and in effect in accordance with said section and subject to all provisions of said section applicable to the rules of such an association — (1) a method or methods for computing the minimum price at which a member thereof may purchase from any investment company any...
Página 156 - The matter in controversy exceeds, exclusive of interest and costs, the sum of ten thousand dollars. (b) Jurisdiction founded on the existence of a Federal question and amount in controversy. The action arises under [the Constitution of the United States, Article , Section ]; [the Amendment to the Constitution of the United States, Section ]; [the Act of , Stat.
Página 444 - For the purpose of creating a false or misleading appearance of active trading in any security registered on a national securities exchange, or a false or misleading appearance with respect to the market...

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