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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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Crime, Justice, and Society

Calvin J. Larson, Gerald R. Garrett - 1996 - 424 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. (Boland, 45-6). As useful as the fraud forbidding...
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Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of ...

David P. McCaffrey, David W. Hart - 1998 - 224 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. Public and private enforcement of the securities...
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Asia-Pacific Legal Development

Gerry Ferguson - 1998 - 618 páginas
...with the puchase or sale of any securities (a) to emply any device, scheme or artifice to defraud; (b) to engage in any act, practice or course of business...would operate as a fraud or deceit upon any person; or Singaporean legislation on the regulation of the securities industry and market manipulation was...
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You Can't Cheat an Honest Man: How Ponzi Schemes and Pyramid Frauds Work and ...

James Walsh - 1998 - 354 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...would operate as a fraud or deceit upon any person.... To elaborate this point further, section 12(2) of the Securities Act of 1933 provides that: Any person...
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Concentrated Corporate Ownership

Randall K. Morck - 2007 - 394 páginas
...whether in federal or in state court. 55. Under rule 10b-5, "It shall be unlawful for any person ... (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" (17 CFR, sec. 240.10b-5). On the applicability...
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Directors and Officers Liability: Prevention, Insurance, and Indemnification

John H. Mathias, Matthew M. Neumeier, Jerry J. Burgdoerfer - 2000 - 736 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)...would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security."7 Rule 10b-5 thus mirrors the language of Section...
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Art of M and A Due Diligence

Alexandra Reed Lajoux - 2000 - 477 páginas
...circumstances under which they were made, not misleading, or CHAPTER 1 Conducting Due Diligence: An Overview 21 (c) To engage in any act, practice, or course of business...would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security. Can the due diligence defense be used in all...
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Dangerous Dreamers: The Financial Innovators from Charles Merrill to Michael ...

Robert Sobel - 2000 - 276 páginas
...trading. This was supplemented in 1942 by Rule 10b-5, also vague on the issue. The rule made it unlawful "to engage in any act, practice, or course of business...would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security." 10 It is clear that the framers of Rule 10b-5...
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106-2 Hearings: Day Trading: Everyone Gambles But The House, S. Hrg. 106-505 ...

2000
...statements made, in the light of the circumstances under which they are m*Af not mi«i>««<ing_ or (3) to engage in any act, practice, or course of business...would operate as a fraud or deceit upon any person. 164. Section 1 02 of the Act provides: It is unlawful for any person who receives any consideration...
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The Language of Real Estate

John W. Reilly - 2000 - 468 páginas
...statement of a material fact or to omit a material fact, which omission makes a statement misleading; or to engage in any act, practice or course of business...would operate as a fraud or deceit upon any person. The federal antifraud provisions are covered under Rule 10-B5 of the Securities Exchange Act of 1 934...
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