 | United States. Securities and Exchange Commission - 1960 - 996 páginas
...to employ a scheme or device to defraud, or an untrue or misleading statement of a material fact, or to engage in any transaction, practice, or course...would operate as a fraud or deceit upon a purchaser. 511636— 60 67 a recommended decision by a hearing examiner, proposed findings and briefs and oral... | |
 | United States. Securities and Exchange Commission - 1953 - 824 páginas
...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. Section 10 of the Securities Exchange Act... | |
 | United States. Securities and Exchange Commission - 1962 - 1022 páginas
...defraud, or to obtain money or property by means of false or misleading statements of material facts, or to engage In any transaction, practice, or course of business which operates or would operate as a fraud and deceit upon purchasers. 4 Section 10(a) of the Exchange Act provides... | |
 | United States. Congress. Senate. Committee on Education and Labor - 1939 - 1016 páginas
...the practices condemned by the act is best illustrated by the further declaration that it is unlawful to engage in "any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser." The Securities Exchange Act of 103-1 is... | |
 | United States. U.S. Congress. Senate. Committee on Education and Labor - 1940 - 1826 páginas
...the practices condemned by the act is best illustrated by the further declaration that it is unlawful to engage in "any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser." The Securities Exchange Act of 1934 is quite... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1174 páginas
...— (1) to employ any device, scheme, or artifice to defraud any client or prospective client; (2) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon any client or prospective client; (3) acting as principal,... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1180 páginas
...— (1) to employ any device, scheme, or artifice to defraud any client or prospective client; (2) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon any client or prospect ive client; (3) acting as principal,... | |
 | United States - 1983 - 1152 páginas
...scheme, or artifice to defraud any client or participant or prospective client or participant; or (B) to engage in any transaction, practice, or course of business which operates as a fraud or deceit upon any client or participant or prospective client or participant. (2) It shall... | |
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... (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,... 
