UNITED STATES of America, Appellee, v. Lloyd DIXON, Jr., Appellant

FRIENDLY, Circuit Judge:

I

Appellant Lloyd Dixon, Jr., was the president of AVM Corporation of Jamestown, New York, a manufacturer of voting machines which became subject to the proxy and reporting requirements of the Securities Exchange Act of 1934 (the Act) in 1965 as a result of the addition of § 12(g) in the amendments of 1964. His prosecution arose from violations of those provisions of the Act.

One of these, § 14(a), deals with the solicitation of proxies. It provides that:

It shall be unlawful for any person, by the use of the mails or by any means or instrumentality of interstate commerce…