| 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... | |
| United States. Congress. Senate. Interstate and Foreign Commerce Committee - 1934 - 972 pages
...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...securities exchange — (a) To effect a short sale of any security registered on a national securities exchange, except In accordance with such rules... | |
| United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 1106 pages
...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...securities exchange — (a) To effect a short sale of any security registered on a national securities exchange, except in accordance with such rules... | |
| 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... | |
| 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... | |
| 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... | |
| 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... | |
| 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... | |
| 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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