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" SEC. 5. (a) Unless a registration statement is in effect as to a security, it shall be unlawful for any person, directly or indirectly — (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the... "
Decisions and Reports - Page 641
by United States. Securities and Exchange Commission - 1945
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United States Reports: Cases Adjudged in the Supreme Court, Volume 298

United States. Supreme Court - Law reports, digests, etc - 1936 - 1044 pages
...untrue statements of material facts or omissions to state material facts. Section 5 (a) provides that unless a registration statement is in effect as to a security, it shall be unlawful for any person directly or indirectly to make use of the instrumentalities of interstate commerce or of the mails...
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Legislative Calendar, Volume 53, Part 2

United States. Congress. Senate. Committee on Finance - United States - 1939 - 1104 pages
...under an indenture and an application for qualification is effective as to such indenture, it shall be unlawful for any person, directly or indirectly — "(1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails...
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Regulation of Sale of Securities: Hearing[s] Before a Subcommittee of the ...

United States. Congress. Senate. Committee on Banking and Currency, United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Securities and Exchange - Securities - 1937 - 232 pages
...be issued under an indenture as to which an application for qualification is effective, it shall be unlawful for any person, directly or indirectly— (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails...
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Decisions and Reports

United States. Securities and Exchange Commission - Securities - 1941 - 1690 pages
...the balance to his associates in the enterprise. Applicant was the recipient of 12 shares 'Section B (a) provides: Unless a registration statement is In...person, directly or Indirectly — (1) to make use of any means or Instruments of transportation or communication In Interstate commerce or of the malls...
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Decisions and Reports, Volume 23

United States. Securities and Exchange Commission - Securities - 1953 - 824 pages
...common stock outstanding. Of this amount, the public held 18,249 •Section 5 (a) of the Securities Act provides : Unless a registration statement Is In effect...person, directly or Indirectly — (1) to make use of any means or Instruments of transportation or communication In Interstate commerce or of the malls...
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Decisions and Reports

United States. Securities and Exchange Commission - Securities - 1956 - 1106 pages
...our detailed Findings and Opinion herein already fully ruled upon them. "Section 6 (a) provides: "(a) Unless a registration statement is in effect as to...person, directly or indirectly — "(1) to make use of any means or instruments of transportation or communication In interstate commerce or of the malls...
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Decisions and Reports, Volume 36

United States. Securities and Exchange Commission - Securities - 1956 - 716 pages
...Securities Act provided at the time these proceedings were instituted: "Unless a registration statement i< in effect as to a security, it shall be unlawful for...person, directly or indirectly — "(1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails...
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Decisions and Reports, Volume 9

United States. Securities and Exchange Commission - Securities - 1943 - 1160 pages
...rights and liabilities.)" •Section 5 (b) of the Securities Act of 1933 reads as follows : It shall be unlawful for any person, directly or indirectly —...use of nny means or Instruments of transportation or er/mmanleation In interstate commerce or of the malls to carry or transmit any pnwpr-ctu relating to...
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Trust Indentures: Hearings Before a Subcommittee of the Committee on ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - Interstate commerce - 1938 - 106 pages
...be issued under an indenture as to which an application for qualification is effective, it shall be unlawful for any person, directly or indirectly — • (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails...
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Trust Indentures. Hearings Before a Subcommittee ... on H.R. 10292 ... April ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 98 pages
...be issued under an indenture as to which an application for qualification is effective, it shall be unlawful for any person, directly or indirectly — (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails...
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