 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1946 - 64 pages
...Would you read section 10 (b) in, as well? Mr. RANDOLPH. Section 10 is as follows: It shall be unlawful for any person, directly or indirectly, by the use...facility of any national securities exchange — (a) To effect a short sale, or to use or employ any stop-loss order in connection with the purchase or sale,... | |
 | United States. Department of Justice - Aliens - 1976 - 832 pages
...involved. Under section 10(b) of the Securities Exchange Act of 1934, 15 USC 78j(b): It shall be unlawful for any person, directly or indirectly, by the use...or of the mails, or of any facility of any national securities exchange ... to use or employ, in connection with the purchase or sale of any security registered... | |
 | Administrative law - 1979 - 1228 pages
...position in such securities. (Sec. 10, 48 Sim. 891; IS USC 78J) [33 PR 8269. June 4. 1968] 5240.106-5 Employment of manipulative and deceptive devices....facility of any national securities exchange. (a) To esipicy any device, atltriiif, or amfic* 10 deJrvjs. b To in&re any untrue statement of a material... | |
 | Administrative law - 1978 - 1130 pages
...manipulative and deceptive devices, by brokers or dealers. (a) It shall be unlawful for any broker or dealer, directly or indirectly, by the use of any means or...or of the mails, or of any facility of any national securities exchange, to use or employ, in connection with the purchase or sale of any security otherwise... | |
 | Administrative law - 1978 - 1252 pages
...manipulative and deceptive devices, by brokers or dealers. (a) 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 natkrhal securities exchange, to use or employ, in connection with the purchase or sale of any security... | |
 | Administrative law - 1968 - 768 pages
...contrivance", as used In section 15(c) (1) of the act, see §f 240.15C1-2 to 240.15cl-9. § 240.10b— 5 Employment of manipulative and deceptive devices....directly or indirectly, by the use of any means or instrumentality of interestate commerce, or of the mails or of any facility of any national securities... | |
 | Administrative law - 1967 - 740 pages
...contrivance", as used In section 15(c) (1) of the act, see §§ 240.15C1-2 to 240.15cl-9. § 240.10b-5 Employment of manipulative and deceptive devices....directly or indirectly, by the use of any means or instrumentality of interestate commerce, or of the mails or of any facility of any national securities... | |
 | Administrative law - 1971 - 660 pages
...position in such securities. <Sec. 10, 48 Stat. 891; 15 USC 78J) [88 FR 8269, June 4, 1968] § 240.10b-5 Employment of manipulative and deceptive devices....directly or indirectly, by the use of any means or instrumentality of interestate commerce, or of the mails or of any facility of any national securities... | |
 | Antitrust law - 1950 - 634 pages
...erring directly to the latter section, Rule X-10B-3 made it unlawful for any "... broker or dealer, directly or indirectly, by the use of any means or...or of the mails, or of any facility of any national securities exchange, to use or employ, in connection with the purchase or sale of any security otherwise... | |
 | United States - Securities - 1955 - 54 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...facility of any national securities exchange — (a) To effect a short sale, or to use or employ any stop-loss order in connection with the purchase or sale,... | |
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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. 
