 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1937 - 580 páginas
...person in the solicitation of any proxy, deposit, assent, or dissent by the use of the mails or of any means or instrumentality of interstate commerce,...— (1) To employ any device, scheme, or artifice to defraud, or (2) To make any untrue statement of a material fact or to omit to state a material fact... | |
 | United States. Securities and Exchange Commission - 1960 - 996 páginas
...registered investment tdvlser, by the use of the malls or facilities of interstate commerce, to employ any device, scheme, or artifice to defraud any client or prospective client, or to engage in any transaction, practice, or course of business which operates as a fraud or deceit... | |
 | United States. Securities and Exchange Commission - 1962 - 1022 páginas
...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 páginas
...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 páginas
...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 páginas
...It shall be unlawful for any investment adviser registered under section 203, by use of the mails or any means or instrumentality of interstate commerce,...transaction, practice, or course of business which operates as a fraud or deceit upon any client or prospective client; (3) knowingly to sell any security to or... | |
 | United States. U.S. Congress. Senate. Committee on Education and Labor - 1940 - 1826 páginas
...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 1934 is quite... | |
 | United States - 1953 - 1692 páginas
...unlawful for any investment adviser registered under section 80b-3 of this title, by use of the mails or Docs., U.S. G.P.O. as a fraud or deceit upon any client or prospective client; (3) acting as principal for his own account,... | |
 | United States - 1983 - 1152 páginas
...scheme, or artifice to defraud any client or participant or prospective client or participant; or (B) to engage in any transaction, practice, or course of business which operates as a fraud or deceit upon any client or participant or prospective client or participant. (2) It shall... | |
 | United States - 1975 - 1706 páginas
...scheme, or artifice to defraud any client or participant or prospective client or participant; or (B) to engage in any transaction, practice, or course of business which operates as a fraud or deceit upon any client or participant or prospective client or participant. (2) It shall... | |
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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... 
