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" ... (1) to employ any device, scheme, or artifice to defraud. (2) to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they are... "
Corporate Misconduct: The Legal, Societal, and Management Issues
editado por - 1995 - 215 páginas
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Decisions and Reports, Volumen25

United States. Securities and Exchange Commission - 1953 - 828 páginas
...statements made. In the light of the circumstances under which they were made, not misleading, or "(8) to engage In any act, practice, or course of business...would operate as a fraud or deceit upon any person, IB connection with the purchase or sale of any security." 20 8. KC SECRET PROFITS Marks and Lime Cola's...
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Decisions and Reports, Volumen35

United States. Securities and Exchange Commission - 1957 - 756 páginas
...statements made, In the light of the circumstances under which they were made, not misleading, or "(8) to engage In any act, practice, or course of business...operates or would operate as a fraud or deceit upon any perron, In connection with the purchase or sale of any security." uTbe Court stated (IOC F. 2d, at...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1999 - 620 páginas
...statements made in the light of the circumstances under which they were made, not misleading, or (c) To engage in any act, practice, or course of business...operate as a fraud or deceit upon any person, in, or in connection with (1) an offer to make or the making of, any transaction for the purchase, sale...
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The Code of Federal Regulations of the United States of America

2000 - 622 páginas
...statements made in the light of the circumstances under which they were made, not misleading, or (c) To engage in any act, practice, or course of business...operate as a fraud or deceit upon any person, in, or in connection with (\) an offer to make or the making of, any transaction for the purchase, sale...
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The Code of Federal Regulations of the United States of America

1977 - 958 páginas
...statements made in the light of the circumstances under which they were made, not misleading, or (c) To engage in any act, practice, or course of business...would operate as a fraud or deceit upon any person in, or in connection with (1) an offer to make, or the making of, any transaction for the purchase, sale...
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Code of Federal Regulations: Containing a Codification of Documents of ...

2000 - 986 páginas
...statements made, in light of the circumstances under which they were made, not misleading; or (iii) To engage in any act, practice or course of business...would operate as a fraud or deceit upon any person. (2) As a means reasonably designed to prevent fraudulent, deceptive or manipulative acts or practices...
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The Code of Federal Regulations of the United States of America

1986 - 978 páginas
...statements made in the light of the circumstances under which they were made, not misleading, or tclTo engage in any act, practice, or course of business...operate as a fraud or deceit upon any person, in, or in connection with (i) an offer to make or the making of, any transaction for the purchase, sale...
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The Code of Federal Regulations of the United States of America

1990 - 814 páginas
...make the statements made, in light of the circumstances under which they are made, not misleading; (3) To engage in any act, practice, or course of business...operates or would operate as a fraud or deceit upon any such registered investment company; or (4) To engage in any manipulative practice with respect to such...
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Code of Federal Regulations: 1985-1999

1980 - 888 páginas
...make the statements made, In light of the circumstances under which they are made, not misleading; (3) To engage in any act, practice, or course of business...operates or would operate as a fraud or deceit upon any such registered investment company; or (4) To engage in any manipulative practice with respect to such...
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Securities Regulations for the District of Columbia: Hearing Before a ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1962 - 72 páginas
...statements made, in the light of the circumstances under which they are made, not misleading ; or (3) to engage in any act, practice, or course of business...would operate as a fraud or deceit upon any person. SEC. 102. ADVISORY ACTIVITIES. — (a) It shall be unlawful for any person licensed under these regulations...
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