 | United States. Securities and Exchange Commission - Securities - 1938 - 128 pages
...the use of any means or instrumentality of interstate commerce, or of the mails, .or of any facility of any national securities exchange, to use or employ,...otherwise than on a national securities exchange, any act, ~xmc. j'KjK^t. af^crrt. TC 'f I.* «•»,. s* V_»T^... fi Ur.>jai Staus ?..*aa direct or isdincfc... | |
 | United States. Securities and Exchange Commission - Securities - 1950 - 856 pages
...of any means or Instrumentality of interstate commerce to effect, any transaction in, or to induce the purchase or sale of any security . . . otherwise than on a national securities exchange, by mean* of any manipulative, deceptive, or other fraudulent device or contrivance. The Commission... | |
 | United States. Securities and Exchange Commission - Securities - 1953 - 824 pages
...a broker or dealer to use the mails or interstate commerce to effect any transaction, or to induce the purchase or sale of, any security otherwise than on a national securities exchange by means of any act, practice, or course of business which operates or would operate as a fraud or... | |
 | United States. Securities and Exchange Commission - Securities - 1958 - 1232 pages
...malls or any means or Instrumentality of Interstate commerce to effect any transaction In, or to Induce the purchase or sale of, any security . . . otherwise than on a national securities exchange, unless such broker or dealer is registered in accordance with subsection (b) of this section." 37 8.... | |
 | United States. Securities and Exchange Commission - Securities - 1956 - 900 pages
...or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security otherwise than on a national securities exchange, who is not a member of any registered securities association, except a broker or dealer who deals exclusively... | |
 | United States. Congress. Senate. Committee on Banking and Currency - Brokers - 1938 - 148 pages
...or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security otherwise than on a national securities exchange, who is not a member of any registered securities association, except a broker or dealer who deals exclusively... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 98 pages
...or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security otherwise than on a national securities exchange, may become a member of such association, except such as are excluded pursuant to paragraph (4) of this... | |
 | United States - Corporation law - 1938 - 48 pages
...or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security otherwise than on a national securities exchange, may become a member of such association, except such as are excluded pursuant to paragraph (4) of this... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1938 - 138 pages
...of any means or instrumentality of interstate commerce to effect any transaction in, o'r to induce the purchase or sale of, any security otherwise than on a national securities exchange, who is not a member of any registered securities association, except a broker or dealer who deals exclusively... | |
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It shall be Unlawful for any broker or dealer, 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, to use or employ, in connection with the... 
