Decisions and Reports, 30권

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U.S. Government Printing Office, 1956

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110 페이지 - ... (1) to employ any device, scheme, or artifice to defraud, or (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or (3) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.
305 페이지 - It shall be unlawful for any person in the sale of any securities by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails, directly or indirectly — (1) to employ any device, scheme, or artifice to defraud, or (2) to obtain money or property by means of any untrue statement of a material fact от any omission to state a material fact...
109 페이지 - It shall be unlawful for any person In the offer or sale of any securities by the use of any means or instruments of transportation or communication in interstate commerce or by the use of the mails, directly or indirectly — "(1) to employ any device, scheme, or...
110 페이지 - ... (b) To use or employ, in connection with the purchase or sale of any security registered on a national securities exchange or any security not so registered, any manipulative or deceptive device or contrivance in contravention of such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors.
305 페이지 - 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...
297 페이지 - ... (1) any person who within ten years has been convicted of any felony or misdemeanor involving the purchase or sale of any security or arising out of such person's conduct as an underwriter, broker, dealer, or investment adviser...
485 페이지 - In accordance with such rules and regulations or order as the Commission may deem necessary or appropriate In the public interest or for the protection of Investors or consumers, any registered holding company or any subsidiary company of a registered holding company...
110 페이지 - manipulative, deceptive, or other fraudulent device or contrivance", as used in section 15(c)(1) of the Act, is hereby defined to include any untrue statement of a material fact and any omission to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they are made, not misleading, which statement or omission is made with knowledge or reasonable grounds to believe that it is untrue or misleading. (c) The scope of this section shall not...
275 페이지 - ... (2) shall continue in effect for a period more than two years from the date of Its execution, only so long as such continuance is specifically approved at least annually by the board of directors or by vote of a majority of the outstanding voting securities of such company; (8) provides.
335 페이지 - SEC. 19. (a) The Commission is authorized, if in its opinion such action is necessary or appropriate for the protection of investors — (1) After appropriate notice and opportunity for hearing, by order to suspend...

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