 | 2000 - 986 páginas
...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... | |
 | 1996 - 888 páginas
...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... | |
 | United States. Securities and Exchange Commission - 1953 - 1386 páginas
...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... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1962 - 72 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... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1962 - 68 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... | |
 | 1964 - 574 páginas
...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,... | |
 | United States. Congress. Senate. District of Columbia - 1964 - 140 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... | |
 | United States. Congress. House. Committee on the District of Columbia - 1964 - 1598 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. LICENSE REQUIREMENT SEC. 4. (a) It shall be unlawful for any person to transact business in the District... | |
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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... 
