Nancy Corinne Dyer and J. Raymond Dyer v. Securities and Exchange Commission

JOHNSEN, Chief Judge.

The Securities Exchange Act of 1934 made it unlawful for anyone to solicit proxies “in respect of any security (other than an exempted security) registered on any national securities exchange in contravention of such rules and regula tions as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors.” 15 U.S.C.A. § 78n(a).

Similarly, the Public Utility Holding Company Act of 1935 made it unlawful to solicit proxies as to any registered holding company “in contravention of such rules and regulations or orders as the…