 ... (b) To use or employ, in connection with the purchase or sale of any security registered on a national securities exchange or any security not so registered, any manipulative or deceptive device or contrivance in contravention of such rules and regulations...  Self-dealing and Breach of Duty at ULLICO, Inc: Report - Página 70por United States. Congress. Senate. Committee on Governmental Affairs - 2004 - 1641 páginasVista completa - Acerca de este libro
 | 1959 - 1124 páginas
[ Lo sentimos, el contenido de esta página está restringido. ] | |
 | 1900
[ Lo sentimos, el contenido de esta página está restringido. ] | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1933 - 594 páginas
...we have limited that section to read : To engage in any series of transactions for the purchase and sale of any security registered on a national securities exchange or any security not so Teglstered for the purpose of pegging, fixing, or stabilizing the price of such security in contravention... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1933 - 1262 páginas
...in the public interest or for the protection of investors; (c) To nss or employ in connection with the purchase or sale of any security registered on a national securities exchange any device or contrivance whichv or any device or contrivance in a way or manner which the Commission;... | |
 | 1953 - 612 páginas
[ Lo sentimos, el contenido de esta página está restringido. ] | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 984 páginas
...the public interest or for the protection of investors; or (c) To use or employ in connection with the purchase or sale of any security registered on...or any security not so registered any manipulative device or contrivance which the Commission may by its rules and regulations find detriment«! to the... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 1106 páginas
...investors; (b) To use or employ or to execute or accept for execution any stop-loss order in connection with the purchase or sale of any security registered on a national securities exchange except in accordance with such rules and regulations as the Commission shall prescribe as appropriate... | |
 | 1934 - 930 páginas
[ Lo sentimos, el contenido de esta página está restringido. ] | |
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