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" 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 made, not misleading, or (c) To engage in any act, practice, or... "
Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of ... - Página 100
por David P. McCaffrey, David W. Hart - 1998 - 224 páginas
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Decisions and Reports, Volumen25

United States. Securities and Exchange Commission - 1953
...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
...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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The Code of Federal Regulations of the United States of America

1967
...to 240.15cl-9. § 240.10b-5 Employment of manipulative and deceptive devices. It shall be unlawful for any person, directly or indirectly, by the use...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...
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The Code of Federal Regulations of the United States of America

1968
...240.15cl-9. § 240.10b— 5 Employment of manipulative and deceptive devices. It shall be unlawful for any person, directly or indirectly, by the use...or (c) To engage in any act, practice, or course of business which operates or § 240.1 ОЬ-6 would operate as a fraud or deceit upon any person, in connection...
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The Code of Federal Regulations of the United States of America

1980
...by use of the mails or any means or instrumentality of interstate commerce, directly or indirectly: (a) To employ any device, scheme, or artifice to defraud,...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 ...

1986
...by use of the mails or any means or instrumentality of interstate commerce, directly or indirectly: (a) To employ any device, scheme, or artifice to defraud,...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

1978
...by use of the mails or any means or Instrumentality of interstate commerce, directly or Indirectly: (a) To employ any device, scheme, or artifice to defraud,...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
...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
...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
...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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