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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 omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were... "
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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Criminal Justice Codification, Revision, and Reform Act of 1974: Report of ...

United States. Congress. Senate. Committee on the Judiciary - 1974
...purchaser, and (ii) in selling or leasing, or offering to sell or lease, any lot in a subdivision, (a) to employ any device, scheme or artifice to defraud, (b) to obtain money or property by means of a material misrepresentation with respect to any information included...
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Municipal Securities Full Disclosure Act of 1976: Hearings Before the ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - 1976 - 527 páginas
...indirectly, by the vise of any means or instrumentality of interstate commerce, or of the nails, or of any facility of any national securities exchange,...make any untrue statement of a material fact or to colt to state • material fact necessary in order to make the statements made, in the light of the...
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Compilation of the Housing and Community Development Amendments of 1979 ...

1980 - 1123 páginas
...respect to the sale or lease, or offer to sell or lease, any lot not exempt under section 1403(a)— “(A) to employ any device, scheme, or artifice to defraud; “(B) to obtain money or property by means of any untrue statement of a material fact, or any omission to state...
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Business Accounting and Foreign Trade Simplification Act: Joint Hearings ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - 1981 - 677 páginas
...the use of any means or instrumentality of Interstate commerce, or of the mails or of any facility of national securities exchange (a) To employ any device, scheme or artifice to defraud, (b) To make any statement of material fact or to omit to state a material fact necessary in order to make the statements...
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RICO Reform: Hearings Before the Subcommittee on Criminal Justice of the ...

United States. Congress. House. Committee on the Judiciary. Subcommittee on Criminal Justice - 1989 - 859 páginas
...commerce, or of the malls, or of any facility of any national securities exchange, (•) to employ any device, scheme, or artifice to defraud, (b) to make any untrue statement of a material fact or omit to state a material fact neceasary in order to make the statements made, In light of the...
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The Code of Federal Regulations of the United States of America

2005
...rj commerce, or of the mails or of any facility of any national securities exchange. fa) To employ any device, scheme, or artifice to defraud, (b) To make any untrue statement of ca material fact or to omit to state a i material fact necessary in order to make the statements made....
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Common Sense Legal Reform Act: Hearings Before the Subcommittee on ..., Volumen4

United States, United States. Congress. House. Committee on Commerce. Subcommittee on Telecommunications and Finance - 1995 - 338 páginas
...behavior in connection with purchases or sales of securities. Rule 10b-5 provides: "It shall be unlawful for any person, directly or indirectly, by the use...defraud, "(b) To make any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements made, in the light...
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Directors and Officers Liability: Prevention, Insurance, and Indemnification

John H. Mathias, Matthew M. Neumeier, Jerry J. Burgdoerfer - 2000 - 736 páginas
...Act, the SEC promulgated Rule 10b-5, which forbade use of instrumentalities of interstate commerce "(a) To employ any device, scheme, or artifice to defraud; (b) To make any untrue statement of material fact or omit to state a material fact necessary in order to make the statements made, in light...
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Earnings Management: Emerging Insights in Theory, Practice, and Research

Joshua Ronen, Varda Yaari - 2008 - 581 páginas
...10b-5, which provides, in relevant part: It shall be unlawful for any person, directly or indirectly (a) to employ any device, scheme, or artifice to defraud, (b) to make any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements made, in light of the...
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Hearings, Reports and Prints of the House Committee on Banking, Currency ...

United States. Congress. House. Committee on Banking, Currency, and Housing - 1980
...respect to the sale or lease, or offer to sell or lease, any lot not exempt under section 1403 (a) — " (A) to employ any device, scheme, or artifice to defraud, " (B) to obtain money or property by means of any untrue statement of a material fact, or any omission to state...
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