 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...  The Handbook of Alternative Assets - Página 149por Mark J. P. Anson - 2003 - 512 páginasVista previa limitada - Acerca de este libro
 | United States. Securities and Exchange Commission - 1956 - 926 páginas
...would operate as a fraud or deceit upon the purchaser." Section 10 (b) provides : "It shall be unlawful for any person, directly or Indirectly, by the use of any means or Instrumentality of Interstate commerce or of the malls, or of any facility of any national securities... | |
 | United States. Congress. House. Committee on Appropriations - 1937 - 1490 páginas
...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 - 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 - 1938 - 48 páginas
...security. REGULATION OF THE USE OF MANIPULATIVE AND DECEPTIVE DEVICES SEC. 10. 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 — (a) To effect a short sale, or to use or employ any stop-loss order in connection... | |
 | 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... | |
 | United States. Securities and Exchange Commission - 1956 - 716 páginas
...a fraud or deceit upon the purchaser." Section 10 provides in pertinent 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... | |
 | United States. Securities and Exchange Commission - 1956 - 1016 páginas
...purchaser." Section 10 of the Securities Exchange Act of 1934 provides in part: "It shall be unlawful for any person, directly or indirectly, by the use...commerce or of the mails, or of any facility of any nationaJ securities exchange — *•*••• • "(o) To use or employ, in connection with the purchase... | |
 | United States. Securities and Exchange Commission - 1951 - 862 páginas
...Roy and Weingart by February 1943 intended to •Section 10 (b) provides: It shall be unlawful (or any person, directly or indirectly, by the use of...or of the mails, or of any facility of any national securities exchange — »• D- * $ $ (b) To use or employ, in connection with the purchase or sale... | |
 | United States. Securities and Exchange Commission - 1956 - 900 páginas
..."manipulative or deceptive device or contrivance," as used in section 10 (b) of the Act, for any such person, directly or indirectly, by the use of any...or of the mails, or of any facility of any national securities exchange, to effect, either alone or with one or more other persons, any transaction or... | |
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