 | United States. Congress. Senate. Committee on Banking and Currency - 1933 - 1262 páginas
...within two years after the discovery of the violation upon which it is based. BEGULATION OF THE USE OF MANIPULATIVE DEVICES SEC. 9. It shall be unlawful...the sale of any security registered on a national securitiesexchange, which at the time of such sale was not owned by such person or his principal except... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1934 - 1008 páginas
...was that? We come now to section 9, on the regulation of manipulative devices. It shall be unlawful for any person, directly or indirectly, by use of...registered on a national securities exchange, which at tlie time of such sale was not owned by such person or his principal except in accordance with such... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 984 páginas
...profit -sha rtusr arrangements; \.~\ m:tn.*yvmotit M ml sonricp contracts; REGULATION OF THE USE OF MANIPULATIVE DEVICES SEC. 9. It shall be unlawful...any national securities exchange — (a) To effect a short sale of any security registered on a national securities exchange, except in accordance with... | |
 | United States. Congress. Senate. Interstate and Foreign Commerce Committee - 1934 - 972 páginas
...cause of action accrued. (e) The provisions of this section shall not apply to an exempted security. SEC. 9. It shall be unlawful for any person, directly...any national securities exchange — (a) To effect a short sale of any security registered on a national securities exchange, except In accordance with... | |
 | United States. Congress. House. Committee on Appropriations - 1937 - 1490 páginas
...10 (b) and 23 (a) thereof, hereby adopts the following rules: use of any means or instrumentality of interstate commerce or of the mails, or of any facility of any national securities exchange — • (1) Pay or offer or agree to pay, directly or indirectly, to any person... | |
 | United States - 1938 - 48 páginas
...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...any national securities exchange — (a) To effect a short sale, or to use or employ any stop-loss order in connection with the purchase or sale, of any... | |
 | United States. Securities and Exchange Commission - 1956 - 716 páginas
...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 — • * • • • "(b) To use or employ. In connection with the purchase or... | |
 | United States. Securities and Exchange Commission - 1956 - 1016 páginas
...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 nationaJ securities exchange — *•*••• • "(o) To use or employ, in connection with the purchase... | |
 | United States - 1953 - 1692 páginas
...shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of a short sale, or to use or employ any stop-loss order in connection with the purchase or sale, of any... | |
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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... 
