 | United States. Securities and Exchange Commission - 1945 - 1290 páginas
...purchaser . . . Section 15 (c) (1) of the Securities Exchange Act reads, in part: No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce to effect any transaction In, or to Induce the purchase or sale of, my security . . . otherwise... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1933 - 1262 páginas
...any exchange which is licensed by the Commission. VALIDITY OF CONTRACTS FOREIGN EXCHANGES SEC. 28. It shall be unlawful for any broker or dealer, directly...of the mails or of any means or instrumentality of transportation or communication in interstate commerce for tbe purpose of effecting on an exchange... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1934 - 1008 páginas
...effective (late of such provision, regardless of whether the contract was made TOBBXGN EXCHANGES SBC. 28. It shall be unlawful for any broker or dealer, directly or indirectly to make use of the malls or of any means or instrumentality of transportatio or communication in interstate commerce for... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 1106 páginas
...faith for value without actual knowledge of snch illegality. FOREIGN SECURITIES EXCHANGES Sao. 29. It shall be unlawful for any broker or dealer, directly...of the mails or of any means or instrumentality of transportation or communication in interstate commerce for the purpose of effecting on an exchange... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 984 páginas
...faith for value without actual knowledge of such illegality. FOREIGN SECURITIES EXCHANGES SEC. 29. It shall be unlawful for any broker or dealer, directly...of the mails or of any means or instrumentality of transport at inn or communication in interstate commerce for the purpose of effecting on an exchange... | |
 | United States - 1968 - 374 páginas
...such loan or extension of credit (or extension or renewal thereof) or acquiring such lien shall hare actual knowledge of facts by reason of which the making...within or subject to the jurisdiction of the United States, any transaction in any security the issuer of which is a resident or, or is organized under... | |
 | United States. Congress. Senate. Committee on Interstate Commerce - 1935 - 1164 páginas
...believe that such security will be marketed, distributed, or made the subject of a public offering by use of the mails or of any means or instrumentality of interstate commerce; (4) To acquire or negotiate for the acquisition of any security or capital assets, other... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1936 - 144 páginas
...of withdrawal with the Commission. "(c) No registered broker or dealer, nor any other person, shall make use of the mails or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security (other than... | |
 | United States. Congress. House. Committee on Appropriations - 1937 - 1180 páginas
...1934, as amended, no broker or dealer (other than one whose business is exclusively intrastate) shall make use of the mails or of any means or instrumentality of interstate commerce to effect transactions in or to induce the purchase or sale of any security (other than exempted... | |
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It shall be unlawful for any broker or dealer, directly or indirectly, to make use of the mails or of any means or instrumentality of interstate commerce for the purpose of effecting on an exchange not within or subject to the jurisdiction of the United... 
