 | 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 - 1956 - 926 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." • Bule X-17A-5 provides In part : "Every member of a national securities exchange... | |
 | 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 - 900 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. S3 3 s =K fc UJ SECURITIES AND EXCHANGE COMMISSION Rule 10b-6. Prohibitions Against... | |
 | 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... | |
 | 1968 - 782 páginas
...to 240.15c1—9. § 240.lOb-5 Employment of manipulative and deceptive devices. It shall be unlawful for any person, directly or Indirectly, by the use...the purchase or sale of any security. (Sec. 10; 48 St&t. 891; 15 USC 78J) 113 PR 8183, Dec. 32, 1948, as amended at 16 P2.7838, Aug. 11, 19511 § 240.lOb-6... | |
 | 1978 - 1252 páginas
...indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange,...any security. (Sec. 10; 48 Stat. 891; 15 USC 78j) [13 FR 8183, Dec. 22, 1948, as amended at 16 PR 7928, Aug. 11, 1951] §240.10b-6 Prohibitions against... | |
 | 1999 - 944 páginas
...indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange,...any security. (Sec. 10; 48 Stat. 891; 15 USC 78j) [13 FR 8183, Dec. 22. 1948, as amended at 16 FR 7928, Aug. 11, 1951] §§240.10be— 240.10b-8 [Reserved]... | |
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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... 
