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" It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange. "
Code of Federal Regulations: Containing a Codification of Documents of ... - Page 262
1964
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United States Reports: Cases Adjudged in the Supreme Court at ..., Volume 445

United States. Supreme Court, John Chandler Bancroft Davis, Henry Putzel, Henry C. Lind, Frank D. Wagner - Courts - 1979 - 996 pages
...this section, the SEC promulgated Rule 10b-5 which provides in pertinent part: ' "It shall be unlawful for any person, directly or indirectly, by the use...or of the mails or of any facility of any national securities exchange, 3 Section 32 (a) of the 1934 Act sanctions criminal penalties against any person...
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General Rules and Regulations Under the Securities Exchange Act of 1934, as ...

United States. Securities and Exchange Commission - Securities - 1956 - 900 pages
...fraudulent device or contrivance," as such term is used in section 15 (c) (1) of the Act. Rule 10b-5. Employment of Manipulative and Deceptive Devices....or of the mails, or of any facility of any national securities exchange, ( 1 ) to employ any device, scheme, or artifice to defraud, (2) to make any untrue...
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Securities Exchange Act of 1934: And Amendments Public--no. 291--73d ...

United States - Corporation law - 1938 - 48 pages
...security. REGULATION OF THE USE OF MANIPULATIVE AND DECEPTIVE DEVICES SEC. 10. It shall be unlawful for any person, directly or indirectly, by the use...facility of any national securities exchange — (a) To effect a short sale, or to use or employ any stop-loss order in connection with the purchase or sale,...
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Decisions and Reports, Volume 30

United States. Securities and Exchange Commission - Securities - 1956 - 1016 pages
...purchaser." Section 10 of the Securities Exchange Act of 1934 provides in part: "It shall be unlawful for any person, directly or indirectly, by the use...commerce or of the mails, or of any facility of any nationaJ securities exchange — *•*••• • "(o) To use or employ, in connection with the purchase...
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Decisions and Reports, Volume 19

United States. Securities and Exchange Commission - Securities - 1951 - 862 pages
...Roy and Weingart by February 1943 intended to •Section 10 (b) provides: It shall be unlawful (or any person, directly or indirectly, by the use of...or of the mails, or of any facility of any national securities exchange — »• D- * $ $ (b) To use or employ, in connection with the purchase or sale...
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Decisions and Reports, Volume 16

United States. Securities and Exchange Commission - Securities - 1950 - 856 pages
...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...or of the mails, or of any facility of any national securities exchange, to use or employ, In connection with the purchase or sale of any security otherwise...
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Decisions and Reports, Volume 28

United States. Securities and Exchange Commission - Securities - 1955 - 1022 pages
...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...commerce, or of the mails, or of any facility of any nation fl securities exchange, to use or employ, in connection with the purchase or sale of any security...
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United States Code, Volume 2

United States - Law - 1953 - 1692 pages
...section, see note by Advisory Committee under said rule 54. One form of action, see rule 2. § 78j. pter. (e) Co@^ effect a short sale, or to use or employ any stop-loss order in connection with the purchase or sale,...
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State and Municipal Securities Regulations: Hearings Before the Committee on ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - Municipal bonds - 1945 - 174 pages
...as originally enacted— and it has never been amended — provides that — "It shall be unlawful for any person, directly or indirectly, by the use...or of the mails, or of any facility of any national securities exchange — and regulations as the Commission may prescribe as necessary or appropriate...
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State and Municipal Securities Regulations. Hearings ... on H.R. 693 ... Feb ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1945 - 138 pages
...aa originally enacted — and it has never been amended — provides that — "It shall be unlawful for any person, directly or indirectly, by the use...or of the mails, or of any facility of any national securities exchange — ******** "(b) To use or employ, in connection with the purchase or sale of...
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