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" ... or be held to mean that the Commission has in any way passed upon the merits of, or given approval to, such security. It shall be unlawful to make, or cause to be made, to any prospective purchaser any representation contrary to the foregoing provisions... "
To Amend the Securities Act of 1933: Solicitation of Proxies, Etc., in ... - Page 135
by United States. Congress. House. Committee on Interstate and Foreign Commerce - 1937 - 562 pages
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Compilation of Securities Laws Within the Jurisdiction of the Committee on ...

United States - Securities - 1991
...inconsistent with the safeguarding of securities or funds. UNLAWFUL REPRESENTATIONS SEC. 26. [78z ] No action or failure to act by the Commission or the Federal Reserve Board,89 in the administration of this title shall be construed to mean that the particular authority...
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Code of Federal Regulations: Containing a Codification of Documents of ...

Administrative law - 1972
...offering under 230.251 to 230.262 shall contain any language stating or implying that the Commission has in any way passed upon the merits of, or given approval to, the securities offered or the terms of the offering or has determined that the securities are exempt...
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Code of Federal Regulations: Containing a Codification of Documents of ...

Administrative law - 1971
...offering under 230.601 to 230.610a shall contain any language stating or implying that the Commission has in any way passed upon the merits of, or given approval to, guaranteed or recommended the securities offered or the terms of the offering or has determined that...
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Code of Federal Regulations: Containing a Codification of Documents of ...

Administrative law - 1967
...offering under 230.251 to 230.262 shall contain any language stating or implying that the Commission has in any way passed upon the merits of, or given approval to, the securities offered or the terms of the offering or has determined that the securities are exempt...
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Laws Relating to Securities Commission, Exchanges and Holding Companies ...

United States - Holding companies - 1973 - 372 pages
...an untrue statement of fact or omit to state a material fact, or be held to mean that the Commission has in any way passed upon the merits of, or given approval to, such security. It shall be unlawful to make, or cause to be made, to any prospective purchaser any...
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Code of Federal Regulations: Containing a Codification of Documents of ...

Administrative law - 1973
...such list of OTC margin stocks is evidence that the Board or the Securities and Exchange Commission has in any way passed upon the merits of, or given approval to, such security or any transaction therein. Any statement in an advertisement or other similar communication...
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Reform of the Federal Criminal Laws: Hearings Before the Subcommittee on ...

United States. Congress. Senate. Committee on the Judiciary. Subcommittee on Criminal Laws and Procedures - Criminal law - 1971 - 12896 pages
...purchaser that the Commission has approved the truth, accuracy or adequacy of a registration statement, or has in any way passed upon the merits of, or given approval to, the security being offered. 38. 15 USC 78j(b) (1964). 39. 17 CFR 240.10b-5 (1971). See, eg, United...
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United States Congressional Serial Set

United States - 1933
...an untrue statement of fact or omit to state a material fact, or be held to mean that the Commission has in any way passed upon the merits of, or given approval to, such security. It shall be unlawful to make, or cause to be made, to any prospective purchaser any...
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Code of Federal Regulations: Containing a Codification of Documents of ...

Administrative law - 1970
...USC 78c(a)(12). margin stocks is evidence that the Board ] or the Securities and Exchange Commission has in any way passed upon the merits of, or given approval to, such security or any transaction therein. Any statement in an advertisement or other similar communication...
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Code of Federal Regulations: Containing a Codification of Documents of ...

Administrative law - 1970
...offering under | 230.251 to 230.262 shall contain any language stating or implying that the Commission has in any way passed upon the merits of, or given approval to, the securities offered or the terms of the offering or has determined that the securities are exempt...
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