| 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,... | |
| 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... | |
| 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... | |
| 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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