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" 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... "
Decisions and Reports - Página 622
por United States. Securities and Exchange Commission - 1955
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United States Reports: Cases Adjudged in the Supreme Court at ..., Volumen445

United States. Supreme Court, John Chandler Bancroft Davis, Henry Putzel, Henry C. Lind, Frank D. Wagner - 1979 - 996 páginas
...this section, the SEC promulgated Rule 10b-5 which 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, 3 Section 32 (a) of the 1934 Act sanctions criminal penalties against any person...
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Stock Exchange Practices: Hearings Before the Committee on Banking and ...

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...
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Stock Exchange Practices: Hearings Before the Committee on Banking and ...

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,...
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Stock Exchange Regulation. Hearing ... on H.R. 8720 ... Feb. 14 - Mar. 24, 1934

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 984 páginas
...prescribe as appropriate or necessary in the public interest or for the protection of investors; (c) To use or employ in connection with the purchase or...security registered on a national securities exchange any device or contrivance which, or any device or contrivance in a way or manner which the Commission...
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Stock Exchange Regulation: Hearing Before the Committee...seventy-third ...

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...
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Stock Exchange Regulation: Hearing Before the Committee on Interstate and ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 1106 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...
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Independent Offices Appropriation Bill for 1939: Hearings Before the ...

United States. Congress. House. Committee on Appropriations - 1937 - 1490 páginas
...Employment of manipulative and deceptive devices.- — It shall be unlawful for any b-oker or dealer, directly or indirectly, by the use of any means or...instrumentality of interstate commerce, or of the mails, or of any facilitity of any national securities exchange, to use or employ, in connection with the purchase...
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Decisions and Reports, Volumen25

United States. Securities and Exchange Commission - 1953 - 828 páginas
...misleading, or "(3) to engage In any transaction, practice, or course of business which operate* or would operate as a fraud or deceit upon the purchaser."...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...
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Securities Exchange Act of 1934: And Amendments Public--no. 291--73d ...

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...
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... General Rules and Regulations Under the Securities Exchange Act of 1934 ...

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...or of the mails, or of any facility of any national securities exchange, (1) to employ any device, scheme, or artifice to defraud, (2) to make any untrue...
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