 | Philippines - 1988 - 484 pages
...— It shall be unlawful for a trading advisor or pool operator to engage in any futures transaction which operates as a fraud or deceit upon any client or participant, or to misrepresent that he has been sponsored, endorsed, recommended or approved by the Philippine Government... | |
 | United States. Securities and Exchange Commission - 1960 - 996 pages
...commerce, to employ any device, scheme, or artifice to defraud any client or prospective client, or to engage in any transaction, practice, or course...business which operates as a fraud or deceit upon tny client or prospective client. registrant was not successful in his efforts to obtain clients. Moreover,... | |
 | United States. Securities and Exchange Commission - 1956 - 716 pages
...employed, an untrue statement or a misleading omission with respect to a material fact is made, or an act, practice or course of business which operates 'as a fraud or deceit is engaged in. The order for proceedings also alleges that registrant employed as a salesman Albert... | |
 | United States. Securities and Exchange Commission - 1958 - 1232 pages
...fraudulent. Rale X-15C1-2 defines a deceptive or fraudulent device or contrivance to Include (1) anj act, practice or course of business which operates as a fraud or deceit npon any person, and (2) any untrue statement of a material fact, and any omission to state, a material... | |
 | United States. Securities and Exchange Commission - 1962 - 1022 pages
...defraud, or to obtain money or property by means of false or misleading statements of material facts, or to engage In any transaction, practice, or course of business which operates or would operate as a fraud and deceit upon purchasers. 4 Section 10(a) of the Exchange Act provides... | |
 | United States. Securities and Exchange Commission - 1953 - 824 pages
...statements made. in the light of the circumstances under which they were made, not misleading, or (3) to engage In any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser. Section 10 of the Securities Exchange Act... | |
 | United States. Congress. Senate. Committee on Education and Labor - 1939 - 1016 pages
...the practices condemned by the act is best illustrated by the further declaration that it is unlawful to engage in "any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser." The Securities Exchange Act of 103-1 is... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1940 - 164 pages
...— (1) to employ any device, scheme, or artifice to defraud any client or prospective client; (2) to engage in any transaction, practice, or course...which operates as a fraud or deceit upon any client or prospective client; (3) knowingly to sell any security to or purchase any security from any client,... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1174 pages
...— (1) to employ any device, scheme, or artifice to defraud any client or prospective client; (2) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon any client or prospective client; (3) acting as principal,... | |
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... (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in... 
