 | United States. Securities and Exchange Commission - 1945 - 1290 páginas
...or deceit upon the purchaser . . . Section 15 (c) (1) of the Securities Exchange Act reads, in part: No broker or dealer shall make use of the mails or...commerce to effect any transaction In, or to Induce the purchase or sale of, my security . . . otherwise than on a national securities exchange, by means... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 36 páginas
...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...otherwise than on a national securities exchange, unless such broker or dealer is registered in accordance with subsection (b) of this section. "(b)... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1936 - 144 páginas
...That section 15 of the Securities Exchange Act of 1934 is amended to read as follows: "SEC. 15 (a). No broker or dealer shall make use of the mails or...commerce to effect any transaction in, or to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers'... | |
 | United States. Securities and Exchange Commission - 1957 - 756 páginas
...Section 15 (c) (3) of the Act provides as follows : "No broker or dealer shall make use of the malls or of any means or instrumentality of Interstate commerce...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 - 1957 - 1194 páginas
...the malls 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...otherwise than on a national securities exchange, unless such broker or dealer la registered in accordance with subsection (b) of this section." Section... | |
 | United States - 1938 - 48 páginas
...Commission shall by order cancel the registration or application of such broker or dealer. (c) (1) No broker or dealer shall make use of the mails or...commerce to effect any transaction in, or to induce the purchase or sale of, any security (other than commercial paper, bankers'1 acceptances, or commercial... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1938 - 138 páginas
...section 15 of the Securities Exchange Act of 1934, o* amended, is amended to read as follows: "(c) No broker or dealer shall make use of the mails or...commerce to effect any transaction in, or to induce the purchase or sale of, any security (other than commercial paper, bankers' acceptances, or commercial... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1938 - 148 páginas
...section 15 of the Securities Exchange Act of 1934, as amended, is amended to read as follows: "(c) No broker or dealer shall make use of the mails or...commerce to effect any transaction in, or to induce the purchase or sale of, any security (other than commercial paper, bankers' acceptances, or commercial... | |
 | United States. Securities and Exchange Commission - 1956 - 1016 páginas
...for the protection of investors." Section IB (c) (1) of the Securities Exchange Act of 1934 provides: "No broker or dealer shall make use of the mails or...commerce to effect any transaction in, or to induce the purchase or sale of, any security . , . otherwise than on a national securities exchange, by means... | |
 | United States. Securities and Exchange Commission - 1955 - 1022 páginas
...in non- exempt securities were in violation of Section 15 (a) of the Act. Section 15 (a) provides: "No broker or dealer . . . shall make use of the mails...of interstate commerce to effect any transaction in ... any security (other than an •Burley & Company. 23 SEC 461 (1946). exempted security . . .) otherwise... | |
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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 or attempt to induce the purchase or sale of, any security (other than an exempted security or commercial... 
