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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... "
General Rules and Regulations Under the Securities Exchange Act of 1934, as ... - Page 7
by United States. Securities and Exchange Commission - 1965
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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
...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 of any...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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Stock Exchange Practices: Hearings Before the Committee on Banking and ...

United States. Congress. Senate. Committee on Banking and Currency - Stock exchanges - 1933 - 1262 pages
...shall be unlawful for any person, directly or indirectly, by use of any means or Instrumentality of interstate commerce or of the mails or of any facility of any national securities exchange— (a) To effect the sale of any security registered on a national securities 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
...shall be unlawful for any person, directly or Indirectly, by use of any means or instrumentality of interstate commerce or of the mails or of any facility of any national securities exchange — (a) To effect a short sale of any security registered on a national securities...
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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
...shall be unlawful for any person, directly or indirectly, by use of any means or instrumentality of interstate commerce or of the mails or of any facility of any national securities exchange — (a) To effect the sale of any security registered on a national securities...
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Independent Offices Appropriation Bill for 1939: Hearings Before the ...

United States. Congress. House. Committee on Appropriations - Executive departments - 1937 - 1490 pages
...Employment of manipulative and deceptive devices.- — It shall be unlawful for any b-oker or dealer, directly or indirectly, by the use of any means or...instrumentality of interstate commerce, or of the mails, or of any facilitity of any national securities exchange, to use or employ, in connection with the purchase...
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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...any facility of any national securities exchange, to use or employ, In connection with the purchase or sale of any security otherwise than on a national...
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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 of any...or of the mails, or of any facility of any national securities exchange — (a) To effect a short sale, or to use or employ any stop-loss order in connection...
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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 of any...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 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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Decisions and Reports, Volume 3

United States. Securities and Exchange Commission - Securities - 1940 - 1240 pages
...authentic information about it early in March « Section 9 (a) (6) renders It unlawful — • • • to effect either alone or with one or more other persons any series of transactions for the purchase and/or sale of any security registered on a national securities...
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