 | Michael Keenan, Lawrence J. White - 2003 - 372 páginas
...material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading; or (c) to engage in...any person, in connection with the purchase or sale of any security. Rule 10b-5 is unusual among the 10b series of rules. Except for Rule 10b-5, the 10b... | |
 | Edward Soule - 2003 - 212 páginas
...material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading, or c) To engage in...any person, in connection with the purchase or sale of any security. 17 CFR § 240.10b-5 (1992) Note that the term "insider" does not appear in either... | |
 | 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... | |
 | 2003 - 326 páginas
...to defraud". .. or (c) engaging in "any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person," in connection with the purchase or sale of any security. In addition. Section 14(e) prohibits a person from engaging in any "fraudulent, deceptive,... | |
 | United States. Congress. House. Committee on Education and the Workforce - 2003 - 288 páginas
...defraud". . . or (c) engaging in "any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person," in connection with the purchase or sale of any security. In addition, Section l4(e) prohibits a person from engaging in any "fraudulent, deceptive,... | |
 | Joseph McCahery, Erik M. Vermeulen - 2004 - 500 páginas
...statements made, in the light of the circumstances under which they were made, not misleading, or (s) To engage in any act, practice, or course of business...any person, in connection with the purchase or sale of any secutity. 17 CFR $ 240.10b-5 (1997). On the applicahility of 10b-5 to close corporations, even... | |
 | Andrew J. Sherman - 2004 - 454 páginas
...the statements made, in light of the circumstances under which they were made, not misleading; or (c) engage in any act, practice, or course of business...any person, in connection with the purchase or sale of any security. The most frequent use of Rule 10b-5 has been in insider trading cases, typically those... | |
 | 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... | |
 | United States. Congress. Senate. Committee on Governmental Affairs - 2004 - 1748 páginas
...defraud". . . or (c) engaging in "any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person," in connection with the purchase or sale of any security. In addition, Section 14(e) prohibits a person from engaging in any "fraudulent, deceptive,... | |
 | Douglas L. Hammer - 2005 - 398 páginas
...material fact necessary in order to make the statements made, in light of the circumstances under which they were made, not misleading, or (c) to engage in...any person, in connection with the purchase or sale of any security.171 The provisions of Exchange Act section 10(b) and Rule l()b-5 "are broad and, by... | |
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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... 
