(4) Making false or misleading statements to induce purchase
or sale of security-
(5) Dissemination of information for consideration from seller
or purchaser to affect price of security.
(6) Pegging, fixing or stabilizing price of security.
(b) Put, call, straddle or option in contravention of Commission rules
and regulations----
(c) Endorsement or guarantee of put, call, straddle, option or
privilege relating to security-.
(d) Inapplicability of term "put," "call," "straddle," "option," or
"privilege" to registered warrant, right, or convertible security
(e) Right of action for violations of section..
Section inapplicable to exempted security.
10. Regulation of the Use of Manipulative and Deceptive Devices..
(a) Restriction against short sales and stop-loss orders...
(b) Restriction against manipulation or deceptive device or contriv-
ance in contravention of Commission rules and regulations.-
11. Segregation and Limitation of Functions of Members, Brokers, and
Dealers....
(a) Power of Commission to prescribe rules and regulations regarding
floor trading and excessive trading on exchanges, exemptions_
(b) Registration of members as odd lot dealers, specialist, disclosure
of information regarding orders placed as specialist; limitation
on transactions by specialist acting as broker_-
(c) Exchange applications for exemption from Section 11.
(d) Restriction regarding transactions by broker-dealer extending
or maintaining credit on security distributed within 6 months,
or transactions without written disclosure to customer of
capacity as broker or dealer__
(e) Consideration by Commission and report of study of segrega-
tion of functions of broker and dealer..