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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... "
Code of Federal Regulations: Containing a Codification of Documents of ... - Página 234
1985
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Code of Federal Regulations: Containing a Codification of Documents of ...

2000
...statements made, in light of the circumstances under which they were made, not misleading; or (iii) To engage in any act, practice or course of business...would operate as a fraud or deceit upon any person. (2) As a means reasonably designed to prevent fraudulent, deceptive or manipulative acts or practices...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1996
...make the statements made, In light of the circumstances under which they are made, not misleading; (3) To engage in any act, practice, or course of business...operates or would operate as a fraud or deceit upon any such registered investment company; or (4) To engage in any manipulative practice with respect to such...
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Decisions and Reports, Volumen22

United States. Securities and Exchange Commission - 1953
...statements made, in the light of the clrcometun under which they were made, not misleading, or "(3) To engage in any act, practice, or course of business...wooM operate as a fraud or deceit upon any person, in connection with the purchase or sale st any security." Section 15 (c) (1) provides In pertinent part...
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Securities Regulations for the District of Columbia: Hearing Before a ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1962 - 59 páginas
...statements made, in the light of the circumstances under which they are made, not misleading ; or (3) to engage in any act, practice, or course of business...would operate as a fraud or deceit upon any person. SEC. 102. ADVISORY ACTIVITIES. — (a) It shall be unlawful for any person licensed under these regulations...
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Securities Regulations for the District of Columbia: Hearing Before a ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1962 - 59 páginas
...statements made, in the light of the circumstances under which they are made, not misleading ; or (3) to engage in any act, practice, or course of business...would operate as a fraud or deceit upon any person. their purchase or sale, whether through the issuance of analyses or reports or otherwise — (1) to...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1964
...instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange, (a) To employ any device, scheme, or artifice to defraud,...would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security. (Sec. 10; 48 Stat. 891; 15 USC 78J) [13 FR 8183,...
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Regulating the Sale of Securities: Hearing Before Subcommittee 2 of the ...

United States. Congress. House. Committee on the District of Columbia, United States. Congress. House. Committee on the District of Columbia. Subcommittee No. 2 - 1964 - 165 páginas
...necessary in order to make the statements made, in the light of the circumstances in which they are made, not misleading ; or "(c) To engage in any act,...would operate as a fraud or deceit upon any [person] purchaser." SECTION 5. LICENSE PROCEDURE (d)-(e) Minimum capital Section 202(e) of the Uniform Act...
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District of Columbia Securities Act: Hearings...88-2...March 5, 19, and ...

United States. Congress. Senate. District of Columbia - 1964 - 131 páginas
...necessary in order to make the statments made, in the light of the circumstances in which they are made, not misleading; or (c) to engage in any act,...would operate as a fraud or deceit upon any person. LICENSE REQUIREMENT SEC. 4. (a) It shall be unlawful for any person to transact business in the District...
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District of Columbia Securities Act: Hearings Before the Subcommittee on the ...

United States. Congress. Senate. Committee on the District of Columbia, United States. Congress. Senate. Committee on the District of Columbia. Subcommittee on the Judiciary - 1964 - 131 páginas
...necessary in order to make the statments made, in the light of the circumstances in which they are made, not misleading; or (c) to engage in any act,...would operate as a fraud or deceit upon any person. LICENSE REQUIREMENT SEC. 4. (a) It shall be unlawful for any person to transact business in the District...
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Hearings

United States. Congress. House. Committee on the District of Columbia - 1964
...necessary in order to make the statements made, in the light of the circumstances in which they are made, not misleading ; or (c) to engage in any act,...would operate as a fraud or deceit upon any person. LICENSE REQUIREMENT SEC. 4. (a) It shall be unlawful for any person to transact business in the District...
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