 | United States. Supreme Court, John Chandler Bancroft Davis, Henry Putzel, Henry C. Lind, Frank D. Wagner - 1979 - 996 páginas
...of stock. Opinion of the Court 445 U. 8. "(a) To employ any device, scheme, or artifice to defraud, [or] "(c) To engage in any act, practice, or course...any person, in connection with the purchase or sale of any security." 17 CFR § 240.10b-5 (1979). This case concerns the legal effect of the petitioner's... | |
 | United States. Securities and Exchange Commission - 1955 - 920 páginas
...statements made, in the light of the circumstances under which they were made, not misleading, or "(3) to engage in any act, practice, or course of business...any person, In connection with the purchase or sale of any security." Section IS (c) (1) provides as follows: "No broker or dealer shall make use of the... | |
 | United States. Securities and Exchange Commission - 1955 - 1022 páginas
...statements made, in the light of the circumstances under which they were made, not misleading, or (3) to engage in any act, practice, or course of business...any person, in connection with the purchase or sale of any security." decided to withdraw his investment and dissolve the partnership, to which Hammill... | |
 | United States. Securities and Exchange Commission - 1953 - 824 páginas
...statements made, In the light of the circumstances under which they were made, not misleading, or (3) to engage In any act, practice, or course of business...any person, In connection with the purchase or sale of any security. Rule X-15C1-2 provides : (a) The term "manlpultlve, deceptive, or other fraudulent... | |
 | United States. Securities and Exchange Commission - 1956 - 1016 páginas
...statements made, in the light of the circumstances under which they were made, not misleading, or "(3) to engage in any act, practice, or course of business...upon any person, in connection with the purchase or sate of any security." Rule X-16C1-2 provides in part: " (a) The term 'manipulative, deceptive, or... | |
 | 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... | |
 | 1971 - 660 páginas
...position in such securities. <Sec. 10, 48 Stat. 891; 15 USC 78J) [88 FR 8269, June 4, 1968] § 240.10b-5 Employment of manipulative and deceptive devices....purchase or sale of any security. (Sec. 10; 48 Stat. 891; 16 USC 78J) [13 PB 8183, Dec. 22, 1948, as amended at 16 FR 7928, Aug. 11, 1951] § 240.10b-6 Prohibitions... | |
 | 1967 - 740 páginas
...contrivance", as used In section 15(c) (1) of the act, see §§ 240.15C1-2 to 240.15cl-9. § 240.10b-5 Employment of manipulative and deceptive devices....would operate as a fraud or deceit upon any person, 315 § 240.10B-6 In connection with the purchase or sale of any security. (Sec. 10; 48 Stat. 891; 15... | |
 | 2001 - 994 páginas
...person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national...any security. (Sec. 10: 48 Stat. 891: 15 USC 78j) [13 FR 8183. Dec. 22. 1948. as amended at 16 FR7928, Aug. 11. 1951] ?240.10b5-] Trading "on the basis... | |
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... (a) To employ any device, scheme, or artifice to defraud, (b) 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 were... 
