 | United States. Congress. Senate. Committee on Banking and Currency - 1933 - 1262 페이지
...upon which it is based. BEGULATION OF THE USE OF MANIPULATIVE DEVICES SEC. 9. It shall be unlawful for any person, directly or indirectly, by use of...the sale of any security registered on a national securitiesexchange, which at the time of such sale was not owned by such person or his principal except... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1934 - 1006 페이지
...upon which it is based. REGULATION OF THE TJBK OF MANIPULATIVE DEVICES SEC. 9. It shall be unlawful for any person, directly or indirectly, by use of any means or instrumentality of interstate commerce or of I he mails or of any facility of any national securities exchange' — (a)... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 1108 페이지
...cause of action accrued. REGULATION OF THE USE OF MANIPULATIVE DEVICES SEO. 9. It shall be unlawful for any person, directly or indirectly, by use of...any national securities exchange — (a) To effect a short sale of any security registered on a national securities exchange, except in accordance with... | |
 | United States. Congress. House. Committee on Appropriations - 1937 - 1490 페이지
...10 (b) and 23 (a) thereof, hereby adopts the following rules: use of any means or instrumentality of interstate commerce or of the mails, or of any facility of any national securities exchange — • (1) Pay or offer or agree to pay, directly or indirectly, to any person... | |
 | United States - 1938 - 48 페이지
...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...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, of any... | |
 | United States. Securities and Exchange Commission - 1956 - 718 페이지
...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 — • * • • • "(b) To use or employ. In connection with the purchase or... | |
 | United States. Securities and Exchange Commission - 1956 - 1016 페이지
...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 nationaJ securities exchange — *•*••• • "(o) To use or employ, in connection with the purchase... | |
 | United States - 1994 - 1376 페이지
...discretion, effects transactions for the purchase or sale of any publicly traded security or securities m- 5 \ ͪ \ذr % X s ڮqQVO `JM i7 b : W - 3A Tݝ Hn C% a national securities exchange, directly or indirectly by or through a registered broker or dealer... | |
 | United States - 1953 - 1692 페이지
...shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of a short sale, or to use or employ any stop-loss order in connection with the purchase or sale, of any... | |
| |
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... 
