 | United States - 1938 - 140 páginas
...provision of this title or any rule or regulation thereunder, shall be void (1) as regards the rights of any person who, in violation of any such provision,...within or subject to the jurisdiction of the United States, any transaction in any security the issiier of which is a resident of, or is organized under... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1938 - 138 páginas
...has in the overthe-counter business. Subsection (c) of section 15 reads: 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, any security (other than... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1938 - 144 páginas
...Securities Exchange Act of 1984, as amended, is amended to read as follows: "(c) 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 <if sale of, any security (other than... | |
 | United States - 1938 - 48 páginas
...contrivances as are manipulative, deceptive, or otherwise fraudulent. (2) No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce to.effeot any transaction in, or to induce or attempt to induce the purchase or sale of, any... | |
 | United States. Securities and Exchange Commission - 1956 - 900 páginas
...contrivances as are manipulative, deceptive, or otherwise fraudulent. (2) 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... | |
 | United States. Securities and Exchange Commission - 1953 - 734 páginas
...Interest or for the protection of investors. Section 15 (c) (1) provides: 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, any security (other than... | |
 | United States. Securities and Exchange Commission - 1950 - 856 páginas
...necessary or appropriate in the public Interest or for the protection of investors. Rule X-10B-3 provides : "It shall be unlawful for any broker or dealer, directly or indirectly, by the use of any means or Instrumentality of interstate commerce, or of the mails, or of any facility... | |
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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... 
