 | Philippines - 1991 - 496 páginas
..."over-the-counter market" is a market created, otherwise than on a securities exchange, fop both the purchase and sale of any security, other than an exempted security...paper, bankers, acceptances, or commercial bills, or securities which have not previously been registered or listed with an exchange. (The Revised Securities... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1936 - 144 páginas
...any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security (other than an exempted...commercial paper, bankers' acceptances or commercial bills, or unregistered securities the market in which is predominantly intrastate and which have not previously... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 36 páginas
...any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security (other than an exempted...paper, bankers' acceptances, or commercial bills) otherwise than on a national securities exchange, unless such broker or dealer is registered in accordance... | |
 | United States. Securities and Exchange Commission - 1957 - 1194 páginas
...any means or instrumentality of Interstate commerce to effect any transaction in. or to induce the purchase or sale of, any security (other than an exempted...paper, bankers' acceptances, or commercial bills) otherwise than on a national securities exchange, unless such broker or dealer la registered in accordance... | |
 | United States. Securities and Exchange Commission - 1956 - 900 páginas
...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...paper, bankers' acceptances, or commercial bills) otherwise than on a national securities exchange, in contravention of such rules and regulations as... | |
 | United States - 1938 - 48 páginas
...instrumentality of interstate commerce to.effeot any transaction in, or to induce or attempt to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers'1 acceptances, or commercial Mils) otherwise than on a national securities exchange, in connection... | |
 | United States. Congress. House. Committee on Merchant Marine and Fisheries - 1940 - 20 páginas
...arrangements for the maintenance of such vessels, subject to the provisions of this joint resolution and to such rules and regulations as the Commission shall prescribe as necessary or appropriate for currying out the purposes and provisions of this joint resolution. If the Commission, upon written... | |
 | United States. Congress. House. Merchant Marine and Fisheries - 1940 - 18 páginas
...arrangements for the maintenance of such vessels, subject to the provisions of this joint resolution and to such rules and regulations as the Commission shall prescribe as necessary or appropriate for carrying out the purposes and provisions of this joint resolution. If the Commission, upon written... | |
 | United States - 1953 - 1692 páginas
...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...paper, bankers' acceptances, or commercial bills) otherwise than on a national securities exchange, in connection with which such broker or dealer engages... | |
 | United States - 1951 - 36 páginas
...arrangements for the maintenance of such vessels, subject to the provisions of this joint resolution and to such rules and regulations as the Commission shall prescribe as necessary or appropriate for carrying out the purposes and provisions of this joint resolution. If the Commission, upon written... | |
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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... 
