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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 the purchase or sale of, any security (other than commercial paper, bankers... "
Unlisted Securities: Hearing Before the Committee on Interstate and Foreign ... - Page 2
by United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 26 pages
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Decisions and Reports, Volume 11

United States. Securities and Exchange Commission - Securities - 1945 - 1290 pages
...purchaser . . . Section 15 (c) (1) of the Securities Exchange Act reads, in part: No broker or dealer shall make use of the mails or of any means or instrumentality...transaction In, or to Induce the purchase or sale of, my security . . . otherwise than on a national securities exchange, by means ol any manipulative, deceptive,...
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Decisions and Reports, Volume 31

United States. Securities and Exchange Commission - Securities - 1956 - 926 pages
...sale of any security." Section 15 (c) (1) provides: "No broker or dealer shall make use of the malls or of any means or instrumentality of interstate commerce...the purchase or sale of, any security (other than commercial paper, bankers' acceptances, or commercial bills) otherwise than on a national securities...
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Stock Exchange Practices: Hearings Before the Committee on Banking and ...

United States. Congress. Senate. Committee on Banking and Currency - Stock exchanges - 1933 - 1262 pages
...binding the Federal Government. It shall bo unlawful for any broker or dealer, directly or indirectly, to make use of the mails or of any means or instrumentality of transportation or communication in interstate commerce for the purpose of effecting on an exchange...
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Stock Exchange Regulation: Hearing Before the Committee...seventy-third ...

United States. Congress. Senate. Interstate and Foreign Commerce Committee - 1934 - 972 pages
...FOREIGN EXCHANGES SEC. 28. 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 transportation or communication in interstate commerce for the purpose of effecting on an exchange...
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Stock Exchange Regulation: Hearing Before the Committee on Interstate and ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - Stock exchanges - 1934 - 1106 pages
...SECURITIES EXCHANGES Sao. 29. 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 transportation or communication in interstate commerce for the purpose of effecting on an exchange...
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Stock Exchange Regulation. Hearing ... on H.R. 8720 ... Feb. 14 - Mar. 24, 1934

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 984 pages
...securities from a national securities exchange. SEC. 13. (a) It shall be unlawful for any person, by the use of the mails or of any means or Instrumentality of interstate commerce or of any facility of any national securities exchange or otherwise, to solicit or to permit...
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Public Utility Holding Company Act of 1935: Hearings, April 16 to 29, 1935

United States. Congress. Senate. Committee on Interstate Commerce - Electric utilities - 1935 - 1164 pages
...believe that such security will be marketed, distributed, or made the subject of a public offering by use of the mails or of any means or instrumentality of interstate commerce; (4) To acquire or negotiate for the acquisition of any security or capital assets, other...
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Trading in Unlisted Securities Upon Exchanges: Hearing Before the Committee ...

United States. Congress. Senate. Committee on Banking and Currency - Securities - 1936 - 144 pages
...notice of withdrawal with the Commission. "(c) No registered broker or dealer, nor any other person, shall make use of the mails or of any means or instrumentality...the purchase or sale of, any security (other than commercial paper, bankers' acceptances or commercial bills, or unregistered securities the market in...
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Independent Offices Appropriation Bill for 1938: Hearings Before the ...

United States. Congress. House. Committee on Appropriations - Executive departments - 1937 - 1180 pages
...current by monthly addenda. Pursuant to section 15 of the Securities Exchange Act of 1934, as amended, no broker or dealer (other than one whose business...or instrumentality of interstate commerce to effect transactions in or to induce the purchase or sale of any security (other than exempted securities)...
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To Amend the Securities Act of 1933. Solicitation of Proxies, Etc., in ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1937 - 580 pages
...issuer during the pendency of the reorganization, voluntary readjustment, or debt arrangement by the use of the mails or of any means or instrumentality of interstate commerce. UNLAWFUL METHODS OF SOLICITATION SEC. 16. (a) It shall be unlawful for any person in the...
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