| 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... | |
| 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... | |
| 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... | |
| 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... | |
| 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... | |
| 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... | |
| 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... | |
| 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... | |
| 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... | |
| 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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