 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 641by United States. Securities and Exchange Commission - 1945Full view - About this book
 | United States. Congress. Senate. Committee on Banking and Currency - Brokers - 1963 - 490 pages
...solicitation of such orders. Prohibitions Relating to Interstate Commerce and the Mails SEC. 5. (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 mails... | |
 | United States. Tax Court - Government publications - 1977 - 1160 pages
...transportation, any such security for the purpose of sale or for delivery after sale. (b) 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... | |
 | United States. Supreme Court - Courts - 1973 - 1054 pages
...rule so prescribed is Rule 10b-5. This declares that, in connection with the purchase or sale of any security, it shall be "unlawful for any person, directly or indirectly," (1) "To employ any device, scheme, or artifice to defraud," (2) "To make any untrue statement of a material... | |
 | United States. Tax Court - Taxation - 1977 - 1216 pages
...security. 4 Sec. 5 provides as follows: Prohibitions relating to interstate commerce and the mails. (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 mails... | |
 | United States - Investments - 1977 - 40 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... | |
 | United States - Securities - 1988 - 552 pages
...Commission shall prescribe. PROHIBITIONS RELATING TO INTERSTATE COMMERCE AND THE MAILS SEC. 5. [77e] (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 mails... | |
 | United States - Securities - 1987 - 556 pages
...Commission shall prescribe. PROHIBITIONS RELATING TO INTERSTATE COMMERCE AND THE MAILS SEC. 5. [77e] (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 mails... | |
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