 | Mark J. P. Anson - 2003 - 512 páginas
...the statements made, in light of the circumstances under which they were made, not misleading, or (3) To engage in any act, practice, or course of business...operates or would operate as a fraud or deceit upon any persons, in connection with the purchase or sale of any security. Notice that the language of Rule... | |
 | James B. Witkin - 2004 - 1108 páginas
...make the statements made, in light of the circumstances under which they were made, not misleading • To engage in any act, practice, or course of business...operates or would operate as a fraud or deceit upon any person58 In other words, while Regulation SK imposes a duty to make certain disclosures, the full force... | |
 | Gregory Lyon, J. J. Du Plessis - 2005 - 244 páginas
...material fact necessary in order to make the statements made, in the light of the circumstances in which they were made, not misleading, or (c) To engage in any act, practice, or course of business which operates or would operate as a fraud or deceit on any person, in connection with the... | |
 | Christina Müller - 2005 - 348 páginas
...necessary in order to make the Statements m ade, in the light of the circumstances undtr which they ivere made, not misleading, or (c) to engage in any act, practice, or courst ofbusincss which opcrates or muld operatt äs afraud or deceit upon anyperson, in conntction... | |
 | Robert Mark Walker - 2006 - 245 páginas
...the statements made, in the light of the circumstances under which they are made, not misleading, or to engage in any act, practice, or course of business...would operate as a fraud or deceit upon any person See? Whether somebody fits the definition of broker-dealer, is required to be registered, or is simply... | |
 | Robert Walker - 2006 - 462 páginas
...the statements made, in the light of the circumstances under which they are made, not misleading, or to engage in any act, practice, or course of business...would operate as a fraud or deceit upon any person Now, let's translate the above back into a language you are probably more familiar with — English.... | |
 | Michael Gerrard - 2007 - 796 páginas
...Exchange Act, specifically makes it unlawful, in connection with the purchase or sale of any security: (a) to employ any device, scheme, or artifice to defraud;...would operate as a fraud or deceit upon any person. 186. The maximum penalty for many violations of environmental laws is $27,500 per day of violation.... | |
 | Joshua Ronen, Varda Yaari - 2008 - 587 páginas
...state a material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading, or (c) [t]o engage in any act, practice, or course of business which operates or would operate as a fraud or a deceit upon any person, in connection with... | |
 | 1967 - 748 páginas
...to 240.15cl-0. § 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, 66-086 0—67 21 815 in connection with the purchase or sale of any security. (Sec. 10; 48 Stat. 891;... | |
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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... 
