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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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The Governance of Close Corporations and Partnerships: US and European ...

Joseph McCahery, Theo Raaijmakers, Erik M. Vermeulen - 2004 - 458 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...would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any secutity. 17 CFR $ 240.10b-5 (1997). On the applicahility...
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Franchising & Licensing: Two Powerful Ways to Grow Your Business in Any Economy

Andrew J. Sherman - 2004 - 436 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...would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security. The most frequent use of Rule 10b-5 has been...
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Environmental Aspects of Real Estate and Commercial Transactions: From ...

James B. Witkin - 2004 - 1053 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...
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U.S. Regulation of Hedge Funds

Douglas L. Hammer, Carolyn S. Reiser, Geoffrey W. Haynes, Neil J. Koren - 2005 - 405 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.171 The provisions of Exchange Act section 10(b)...
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Financial Reporting of Environmental Liabilities and Risks after Sarbanes-Oxley

C. Gregory Rogers - 2005 - 384 páginas
...statements made, in the 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, in connection with the purchase or sale of any security.3 Rule 21 0.1 -02 (Regulation SX) The term material,...
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SOU 2005:018 Prospektansvar

Sverige. Prospektutredningen - 2005 - 151 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 any security. Att Rule 10b-5 omfattar sĺväl köp som försäljning...
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International Securities Markets: Insider Trading Law in China

Hui Huang, Robin Hui Huang - 2006 - 356 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.28 In contrast with Section 10(b), Rule 10b-5...
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Contemporary Criminal Law: Concepts, Cases, and Controversies

Matthew Lippman - 2006 - 650 páginas
...and regulations as the Commission may prescribe. . . ." Rule 10b-5, 17 C.RR. § 240.10b-5, states: (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. The core of appellants' argument is ... the misappropriation...
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Secondary Market Tax-exempt Asset Securitization for Sponsors, Investors ...

Darrell R. Larsen - 2005 - 341 páginas
...state a material fact necessary in order to make the statements made, in light of the circumstances in which they were made, not misleading; or (c) to engage...would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security.47 An extensive body of case law analyzes various...
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United States Securities Law: A Practical Guide

James M. Bartos, Jim Bartos - 2006 - 299 páginas
...statements made, in the 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, in connection with the purchase or sale of any security". Specific measures. Plaintiffs can also bring...
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