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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... "
Compilation of Securities Laws Within the Jurisdiction of the Committee on ... - Page 86
by United States - 1999 - 725 pages
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United States Reports: Cases Adjudged in the Supreme Court at ..., Volume 445

United States. Supreme Court, John Chandler Bancroft Davis, Henry Putzel, Henry C. Lind, Frank D. Wagner - 1979 - 996 pages
...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 Regulation: Hearing Before the Committee on Interstate and ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 1106 pages
...prescribe as appropriate or necessary in the public interest or for the protection of investors ; (b) To use or employ any stop-loss order in connection...security registered on a national securities exchange, except in accordance with such rules and regulations as the Commission shall prescribe as appropriate...
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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 pages
...prescribe as appropriate or necessary in the public interest or for the protection of investors ; (b) To use or employ any stop-loss order in connection...security registered on a national securities exchange, except in accordance with such rules find regulations as the Commission shall prescribe as appropriate...
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Securities Exchange Act of 1934: And Amendments Public--no. 291--73d ...

United States - 1938 - 48 pages
...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...exchange, in contravention of such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection...
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... General Rules and Regulations Under the Securities Exchange Act of 1934 ...

United States. Securities and Exchange Commission - 1946 - 152 pages
...(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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Decisions and Reports, Volume 19

United States. Securities and Exchange Commission - 1951 - 862 pages
...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...
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Decisions and Reports, Volume 30

United States. Securities and Exchange Commission - 1956 - 1016 pages
...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...
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General Rules and Regulations Under the Securities Exchange Act of 1934, as ...

United States. Securities and Exchange Commission - 1956 - 900 pages
..."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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Decisions and Reports, Volume 16

United States. Securities and Exchange Commission - 1950 - 856 pages
...the protection of investors. Rule X-10B-3 provides : "It shall be unlawful for any broker or dealer, 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 otherwise...
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Decisions and Reports, Volume 28

United States. Securities and Exchange Commission - 1955 - 1022 pages
...protection of investors. " Rule X-10B- 3 provides: 'It shall be unlawful for any broker or dealer, directly or indirectly, by the use of any means or...commerce, or of the mails, or of any facility of any nation fl securities exchange, to use or employ, in connection with the purchase or sale of any security...
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