 | United States. Securities and Exchange Commission - 1962 - 1022 páginas
...unlawful for any registered investment adviser to use the malls or the Instruments of Interstate commerce to engage In any transaction, practice or course of...fraud or deceit upon any client or prospective client. *SDNT, Civil Action no. 139-230. aimed services together in 1953. They met occasionally thereafter,... | |
 | United States. Securities and Exchange Commission - 1960 - 996 páginas
...commerce, to employ any device, scheme, or artifice to defraud any client or prospective client, or to engage in any transaction, practice, or course...business which operates as a fraud or deceit upon tny client or prospective client. registrant was not successful in his efforts to obtain clients. Moreover,... | |
 | United States. Securities and Exchange Commission - 1958 - 1232 páginas
...fraudulent. Rale X-15C1-2 defines a deceptive or fraudulent device or contrivance to Include (1) anj act, practice or course of business which operates as a fraud or deceit npon any person, and (2) any untrue statement of a material fact, and any omission to state, a material... | |
 | United States. Securities and Exchange Commission - 1956 - 716 páginas
...employed, an untrue statement or a misleading omission with respect to a material fact is made, or an act, practice or course of business which operates 'as a fraud or deceit is engaged in. The order for proceedings also alleges that registrant employed as a salesman Albert... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1940 - 164 páginas
...It shall be unlawful for any investment adviser registered under section 203, by use of the mails or any means or instrumentality of interstate commerce,...deceit upon any client or prospective client; (3) knowingly to sell any security to or purchase any security from any client, or to effect any purchase... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1174 páginas
...client; (2) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon any client or prospective client; (3) acting as principal, knowingly to sell any security to or purchase any security from any client, unless such investment... | |
 | United States - 1975 - 1706 páginas
...scheme, or artifice to defraud any client or participant or prospective client or participant; or (B) f this cX > participant or prospective client or participant. (2) It shall be unlawful for any commodity trading... | |
 | United States - 1983 - 1152 páginas
...scheme, or artifice to defraud any client or participant or prospective client or participant; or (B) to engage in any transaction, practice, or course...which operates as a fraud or deceit upon any client or participant or prospective client or participant. (2) It shall be unlawful for any commodity trading... | |
 | United States. Congress. Senate. Agriculture and Forestry Committee - 1949 - 128 páginas
...scheme, or artifice to defraud any client or participant or prospective client or participant; or "(B) to engage in any transaction, practice, or course...which operates as a fraud or deceit upon any client o{ participant or prospective client or participant. SEC. 8. Section 5a of the Commodity Exchange Act... | |
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... any device, scheme, or artifice to defraud any client or prospective client; (2) to engage in any transaction, practice, or course of business which operates as a fraud or deceit upon any client or prospective client... 
