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" ... (c) Any person who willfully violates any provision of this section or any rule or regulation issued under this section, or who willfully, in a registration or license application, makes any untrue statement of a material fact or omits to state a... "
The Code of Federal Regulations of the United States of America - Pagina 81
1958
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Annual Report of the Federal Trade Commission

United States. Federal Trade Commission - 1933 - 878 pagini
...registration statement has already become effective) that the registration includes any untrue statement of a material fact or omits to state a material fact required to be stated therein or necessary to make the statements therein not misleading, the Commission may, after notice...
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Stock Exchange Regulation: Hearing Before the Committee on Interstate and ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 1106 pagini
...misleading in any matter sufficiently important to influence the judgment of an average investor, shall upon conviction be fined not more than $25,000 or imprisoned not more than ten years, or both, except that when such person is an exchange, a fine not exceeding $500,000 may...
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Stock Exchange Regulation. Hearing ... on H.R. 8720 ... Feb. 14 - Mar. 24, 1934

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 984 pagini
...misleading in any matter sufficiently important to influence the judgment of an average investor, shall upon conviction be fined not more than $25,000 or imprisoned not more than ten years, or both, except that when such person is an exchange, a fine not exceeding $500,000 may...
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To Amend the Securities Act of 1933. Solicitation of Proxies, Etc., in ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1937 - 580 pagini
...statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading, shall upon conviction be fined not more than $5,000 or imprisoned not more than five years, or both. EFFECT ON EXISTING LAW SEC. 24. Nothing...
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Regulation of Sale Os Securities, Hearing Before a Subcommittee of ...,75-1 ...

United States. Congress. Senate. Banking and Currency Committee - 1937 - 244 pagini
...statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading, shall upon conviction be fined not more than $5,000 or imprisoned not more than five years, or both. EFFECT ON EXISTING LAW SEC. 15. Nothing...
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Legislative Calendar, Volumul 53,Partea 2

United States. Congress. Senate. Committee on Finance - 1939 - 1104 pagini
...statement or a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading, shall upon conviction be fined not more than $5,000 or imprisoned not more than five years, or both. "EFFECT ON EXISTING LAW "SEC. 326. Except...
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To Amend the Securities Act of 1933: Solicitation of Proxies, Etc., in ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1937 - 580 pagini
...statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading, shall upon conviction be fined not more than $5,000 or imprisoned not more than five years, or both. EFFECT ON EXISTING LAW SEC. 24. Nothing...
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Conservator in Bankruptcy: Hearing Before the Committee on the Judiciary ...

United States. Congress. House. Committee on the Judiciary - 1937 - 226 pagini
...•of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading, shall upon conviction be fined not more than $5,000 or imprisoned not more than five years, or both. MISCELLANEOUS AMENDMENTS TO THE BANKRUPTCY...
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Trust Indenture Act: Hearings Before a Subcommittee of the Committee on ...

United States. Congress. Senate. Committee on Banking and Currency, United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Securities and Exchange - 1939 - 220 pagini
...statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading, shall upon conviction be fined not more than $5,000 or imprisoned not more than five years, or both. "EFFECT ON EXISTING LAW "SEC. 323. Nothing...
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Trust Indentures: Hearings Before a Subcommittee of the Committee on ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1939 - 332 pagini
...statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading, shall upon conviction be fined not more than $5,000 or imprisoned not more than five years, or both. "EFFECT ON EXISTING LAW mission, board,...
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