 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...  Decisions and Reports - Page 625by United States. Securities and Exchange Commission - 1941Full view - About this book
 | United States. Securities and Exchange Commission - Securities - 1945 - 1290 pages
...(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 of interstate commerce...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. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 984 pages
...transacts a business in securities through the medium of a member or through the use of the mails or any means or instrumentality of interstate commerce to effect any transaction in a security by use of any facility of a national securities exchange or otherwise, (1) if in connection... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - Securities - 1936 - 36 pages
...broker or dealer (other than one whose business is exclusively intrastate) shall make use of the mails or of any means or instrumentality of interstate commerce...or to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers' acceptances, or commercial bills) otherwise... | |
 | United States. Congress. Senate. Committee on Banking and Currency - Securities - 1936 - 144 pages
...of 1934 is amended to read as follows: "SEC. 15 (a). No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce...or to induce the purchase or sale of, any security (other than an exempted security or commercial paper, bankers' acceptances or commercial bills, or... | |
 | United States. Congress. House. Committee on Appropriations - Executive departments - 1937 - 1490 pages
...mails, or of any facilitity of any national securities exchange, to use or employ, in connection with the purchase or sale of any security otherwise than on a national securities exchange, any act, practice, or course of business defined by the Commission to be included within the term "manipulative,... | |
 | United States. Securities and Exchange Commission - Securities - 1947 - 1062 pages
...the Securities Exchange Act of 1934 provides in part: No broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce...otherwise than on a national securities exchange, by mean* of any manipulative, deceptive, or other fraudulent device or contrivance. The Commission... | |
 | United States. Securities and Exchange Commission - Securities - 1958 - 1232 pages
...or dealer (other than one whose business Is exclusively Intrastate) shall make nse of the malls or any means or Instrumentality of Interstate commerce...otherwise than on a national securities exchange, unless such broker or dealer is registered in accordance with subsection (b) of this section." 37 8.... | |
 | United States. Securities and Exchange Commission - Securities - 1943 - 1160 pages
...regulation thereunder, • • • •Section 15 (c) (1) provides: 'No broker or dealer shall make use of the malls or of any means or Instrumentality...or to Induce the purchase or sale of, any security (other than commercial paper, bankers' acceptances, or commercial bills) otherwise than on a national... | |
 | United States. Securities and Exchange Commission - Securities - 1953 - 824 pages
...Interest or for the protection of Investors. Section IB (c) (1) provides: No broker or dealer shall make use of the malls or of any means or Instrumentality...or to Induce the purchase or sale of, any security (other than commercial paper, bankers' acceptances, or commercial bills) otherwise than on a national... | |
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