 | United States. Securities and Exchange Commission - 1956 - 926 páginas
...Indirectly, by the use of any mean* or Instrumentality of Interstate commerce, or of the malls, or of any facility of any national securities exchange....any device, scheme, or artifice to defraud, "(2) to make any untrue statement of a material fact or to omit to state a material fact necessary In order... | |
 | 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
...10 (b) and 23 (a) thereof, hereby adopts the following rules: use of any means or instrumentality of interstate commerce or of the mails, or of any facility of any national securities exchange — • (1) Pay or offer or agree to pay, directly or indirectly, to any person any compensation for soliciting... | |
 | United States. Securities and Exchange Commission - 1946 - 152 páginas
...(1) of the Act. Rule X-10B-5. Employment of Manipulative and Deceptive Devices. It shall be unlawful for any person, directly or indirectly, by the use...any device, scheme, or artifice to defraud, (2) to make any untrue statement of a material fact or to omit to state a material fact necessary in order... | |
 | United States. Securities and Exchange Commission - 1955 - 1022 páginas
...the public interest or for the protection of investors." Rule X-10B-5 provides: "It shall be unlawful for any person, directly or indirectly, by the use...any device, scheme, or artifice to defraud, (2) to make any untrue statement of a material fact or to omit to state a material fact necessary in order... | |
 | United States. Securities and Exchange Commission - 1949 - 154 páginas
...(1) of the Act. Rule X-10B-5. Employment of Manipulative and Deceptive Devices. It shall be unlawful for any person, directly or indirectly, by the use...or of the mails, or of any facility of any national securities exchange. EXEMPTION OF CERTAIN SECURITIES FROM SECTION 11 (d) (1) Rule X-11D1-1. Exemption... | |
 | United States. Securities and Exchange Commission - 1953 - 1110 páginas
...purchaser." Section 10 (b) of the Securities Exchange Act of 1934 provides in part: "It shall be unlawful for any person, directly or indirectly, by the use...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... | |
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... 1) to employ any device, scheme, or artifice to defraud, (2) 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... 
