... fraudulent, deceptive, or manipulative and such quotations as are fictitious. (8) 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 or attempt to induce... Mergers and Acquisitions - Página 158editado por - 2003 - 368 páginasVista previa limitada - Acerca de este libro
| United States - 1938 - 48 páginas
...manipulative and such quotations as are fictitious. (8) No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce...or attempt to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers' acceptances, or commercial... | |
| United States. Securities and Exchange Commission - 1956 - 900 páginas
...manipulative, deceptive, or otherwise fraudulent. (2) No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce...or attempt to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers' acceptances, or commercial... | |
| United States. Securities and Exchange Commission - 1957 - 756 páginas
...15 (c) (3) of the Act provides as follows : "No broker or dealer shall make use of the malls or of any means or instrumentality of Interstate commerce...or attempt to Induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers' acceptances, or commercial... | |
| United States. Securities and Exchange Commission - 1955 - 920 páginas
...period • Section 15 (c) (3) provides. In part: "No broker or dealer shall make use of the malla ... to effect any transaction In, or to Induce or attempt to Induce the purchase or sale of, any security . . . otherwise than on a national security exchange, In contravention ot guch rules and regulations... | |
| United States. Securities and Exchange Commission - 1955 - 144 páginas
...Section 15 (c) (2) of the Act, is hereby defined to include any act of any broker or dealer designed to effect any transaction in, or to induce or attempt to induce the purchase or sale of, any security required to be validated under any applicable validation law of the Federal Republic of Germany... | |
| United States. Securities and Exchange Commission - 1956 - 716 páginas
...security.** Section 16 (c) (1) provide*: "No broker or dealer anal] make use of the malls or of any mean* 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' acceptances, or commercial... | |
| United States - 1994 - 1332 páginas
...deceptive, or other fraudulent device or contrivance. (C) No government securities broker or government . G.P.O." " United States( government security by means of any manipulative, deceptive, or other fraudulent device or contrivance.... | |
| United States - 1953 - 1692 páginas
...manipulative, deceptive, or otherwise fraudulent. (2) No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce...or attempt to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers' acceptances, or commercial... | |
| 1968 - 768 páginas
...section 15 (c) (2) of the act, is hereby defined to include any act of any broker or dealer designed to effect any transaction in, or to induce or attempt to induce the purchase or sale of, any security required to be validated under any applicable validation law of the Federal Republic of Germany,... | |
| 1977 - 958 páginas
...act. ta hereby defined to include any act of any broker or dealer designed to effect any transmcUs» in, or to Induce or attempt to induce the purchase or sale of, any security required to be validated under any applicable validation law of the Federal Republic of Germany,... | |
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