 No broker or dealer shall make use of the mails or any means or instrumentality of interstate commerce to effect any transaction in, or to induce or attempt to induce the purchase or sale of, any security (other than an exempted security or commercial...  Securities Exchange Act Amendments of 1973: Hearings, Ninety-third Congress ... - 1977 페이지저자: United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1974전체보기 - 도서 정보
 | Philippines - 1991 - 496 페이지
..."over-the-counter market" is a market created, otherwise than on a securities exchange, fop both the purchase and sale of any security, other than an exempted security...paper, bankers, acceptances, or commercial bills, or securities which have not previously been registered or listed with an exchange. (The Revised Securities... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1936 - 140 페이지
...the mails or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security (other...commercial paper, bankers' acceptances or commercial bills, or unregistered securities the market in which is predominantly intrastate and which have not previously... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1936 - 36 페이지
...the mails or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security (other...paper, bankers' acceptances, or commercial bills) otherwise than on a national securities exchange, unless such broker or dealer is registered in accordance... | |
 | United States. Securities and Exchange Commission - 1956 - 900 페이지
...broker or dealer shall make use of the mails or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce or attempt...paper, bankers' acceptances, or commercial bills) otherwise than on a national securities exchange, in connection with which such broker or dealer engages... | |
 | United States. Securities and Exchange Commission - 1957 - 756 페이지
...broker or dealer shall make use of the malls or of any means or instrumentality of Interstate commerce to effect any transaction In, or to Induce or attempt...paper, bankers' acceptances, or commercial bills) otherwise than on a national securities exchange, in contravention of such rules and regulations as... | |
 | United States - 1938 - 48 페이지
...dealer shall make use of the mails or of any means or instrumentality of interstate commerce to.effeot any transaction in, or to induce or attempt to induce...(other than an exempted security or commercial paper, bankers'1 acceptances, or commercial Mils) otherwise than on a national securities exchange, in connection... | |
 | United States. Securities and Exchange Commission - 1957 - 1194 페이지
...the malls or of any means or instrumentality of Interstate commerce to effect any transaction in. or to induce the purchase or sale of, any security (other...paper, bankers' acceptances, or commercial bills) otherwise than on a national securities exchange, unless such broker or dealer la registered in accordance... | |
 | United States. Securities and Exchange Commission - 1955 - 920 페이지
...period • Section 15 (c) (3) provides. In part: "No broker or dealer shall make use of the malla ... to effect any transaction In, or to Induce or attempt to Induce the purchase or sale of, any security . . . otherwise than on a national security exchange, In contravention ot guch rules and regulations... | |
 | United States. Securities and Exchange Commission - 1955 - 144 페이지
...Section 15 (c) (2) of the Act, is hereby defined to include any act of any broker or dealer designed to effect any transaction in, or to induce or attempt to induce the purchase or sale of, any security required to be validated under any applicable validation law of the Federal Republic of Germany unless... | |
 | United States. Securities and Exchange Commission - 1960 - 996 페이지
...the malls or of any means or instrumentality of interstate commerce to effect any transaction in, or to induce the purchase or sale of, any security (other than an exempted security . . .) otherwise than on a national securities exchange, unless lnch broker or dealer is registered... | |
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