 | United States. Securities and Exchange Commission - 1970 - 166 páginas
...848821.) Rale 10b-5. Employment of Manipulative and Deceptive Devices It shall be unlawful for any person, directly or indirectly, by the use of any means or...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... | |
 | United States. Securities and Exchange Commission - 1955 - 1022 páginas
...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 of any means or...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... | |
 | United States - 1938 - 48 páginas
...REGULATION OF THE USE OF MANIPULATIVE AND DECEPTIVE DEVICES SEC. 10. It shall be unlawful for any person, directly or indirectly, by the use of any means or...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
...(b) of the Securities Exchange Act of 1934 provides in part: "It shall be unlawful for any person, directly or indirectly, by the use of any means or...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 - 1953 - 1692 páginas
...action, see rule 2. § 78j. Manipulative and deceptive devices. It shall be unlawful for any person, directly or indirectly, by the use of any means or...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. Congress. House. Committee on Interstate and Foreign Commerce - 1945 - 138 páginas
...You may do so. (The section referred to is as follows:) SEC. 10. It shall be unlawful for any person, directly or indirectly, by the use of any means or...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 of any... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1945 - 174 páginas
...enacted— and it has never been amended — provides that — "It shall be unlawful for any person, directly or indirectly, by the use of any means or...or of the mails, or of any facility of any national securities exchange — and regulations as the Commission may prescribe as necessary or appropriate... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1946 - 64 páginas
...section 10 (b) in, as well? Mr. RANDOLPH. Section 10 is as follows: It shall be unlawful for any person, directly or indirectly, by the use of any means or...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. Department of Justice - 1976 - 832 páginas
...section 10(b) of the Securities Exchange Act of 1934, 15 USC 78j(b): It shall be unlawful for any person, directly or indirectly, by the use of any means or...or of the mails, or of any facility of any national securities exchange ... to use or employ, in connection with the purchase or sale of any security registered... | |
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... 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 made, not misleading, or (c... 
