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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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Criminal Law

David C. Brody, James R. Acker, Wayne A. Logan - 2001 - 652 páginas
...facility of any national securities exchange, (a) To employ any device, scheme, or artifice to defraud, [or] . . . (c) To engage in any act, practice, or...would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security. Under the federal securities laws, potential...
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107-1 Hearings: Role of U.S. Correspondent Banking in International Money ...

2001
...statements made, in the light of the circumstances under which they were made, not misleading; or c. 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. IV. Ford and his agents, servants, employees,...
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Public Companies

Jonathan M. Hoff, Lawrence A. Larose, Frank J. Scaturro - 2002
...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...would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security." 17 CFR § 240.1()(b)-5. 43 "It shall be unlawful...
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Stock Option Litigation Guide

Thomas J. St. Ville - 2002 - 84 páginas
...Enabled by this statute, the SEC has promulgated Rule 10b-5, which provides that it shall be unlawful: (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.37 In order to establish a violation of §10(b)...
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International Life Insurance

David D. Whelehan - 2002 - 479 páginas
...the statements made, in the light of 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, in connection with the purchase or sale of a security." A purchaser of an insurance product from an offshore...
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Compliance im Wertpapierdienstleistungskonzern

Thomas Lösler - 2003 - 315 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." 76 I.Teil: Grundlagen einer Compliance-Organisation...
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Bezugsrechtsausschluss im Spannungsfeld zwischen unternehmerischen Ermessen ...

Erhan Seyfi Moroğlu - 2003 - 362 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." 590 Die Anwendbarkeit der Rule 10b-5 im Zusammenhang...
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Mergers and Acquisitions

Michael Keenan, Lawrence J. White - 2003 - 368 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. Rule 10b-5 is unusual among the 10b series of...
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Morality & Markets: The Ethics of Government Regulation

Edward Soule - 2003 - 193 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. 17 CFR § 240.10b-5 (1992) Note that the term...
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Handbook of Alternate Assets

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...
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