 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...  Self-dealing and Breach of Duty at ULLICO, Inc: Report - Página 71por United States. Congress. Senate. Committee on Governmental Affairs - 2004 - 1641 páginasVista completa - Acerca de este libro
 | United States. Supreme Court, John Chandler Bancroft Davis, Henry Putzel, Henry C. Lind, Frank D. Wagner - 1979 - 996 páginas
...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 of...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... | |
 | 1959 - 1124 páginas
[ Lo sentimos, el contenido de esta página está restringido. ] | |
 | Wyoming - 1891 - 582 páginas
[ Lo sentimos, el contenido de esta página está restringido. ] | |
 | Idaho - 1967 - 978 páginas
[ Lo sentimos, el contenido de esta página está restringido. ] | |
 | 1900
[ Lo sentimos, el contenido de esta página está restringido. ] | |
 | New Mexico - 1965 - 988 páginas
[ Lo sentimos, el contenido de esta página está restringido. ] | |
 | 1953 - 612 páginas
[ Lo sentimos, el contenido de esta página está restringido. ] | |
 | 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 - 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... | |
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