 | United States. Securities and Exchange Commission - 1945 - 1290 páginas
...purchaser . . . Section 15 (c) (1) of the Securities Exchange Act reads, in part: No broker or dealer shall make use of the mails or of any means or instrumentality...transaction In, or to Induce the purchase or sale of, my security . . . otherwise than on a national securities exchange, by means ol any manipulative, deceptive,... | |
 | United States. Securities and Exchange Commission - 1956 - 926 páginas
...sale of any security." Section 15 (c) (1) provides: "No broker or dealer shall make use of the malls or of any means or instrumentality of interstate commerce...or to Induce the purchase or sale of, any security (other than commercial paper, bankers' acceptances, or commercial bills) otherwise than on a national... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1933 - 1262 páginas
...binding the Federal Government. It shall bo unlawful for any broker or dealer, directly or indirectly, to make use of the mails or of any means or instrumentality of transportation or communication in interstate commerce for the purpose of effecting on an exchange... | |
 | United States - 1968 - 374 páginas
...this subsection, the term 'nonmember broker or dealer' shall include any broker or dealer who makes use of the mails or of any means or instrumentality...otherwise than on a national securities exchange, who is not a member of any registered securities association, except a broker or dealer who deals exclusively... | |
 | United States. Congress. Senate. Committee on Interstate Commerce - 1935 - 1164 páginas
...believe that such security will be marketed, distributed, or made the subject of a public offering by use of the mails or of any means or instrumentality of interstate commerce; (4) To acquire or negotiate for the acquisition of any security or capital assets, other... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1936 - 144 páginas
...of withdrawal with the Commission. "(c) No registered broker or dealer, nor any other person, shall make use of the mails or of any means or instrumentality...or to induce the purchase or sale of, any security (other than commercial paper, bankers' acceptances or commercial bills, or unregistered securities... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 36 páginas
...application of such broker or dealer. "(c) No registered broker or dealer, or any other person, shall make use of the mails or of any means or instrumentality...or to induce the purchase or sale of, any security (other than comemrcial paper, bankers' acceptances, or commercial bills) otherwise than on a national... | |
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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... 
