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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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Pass the 6: A Training Guide for the NASD Series 6 Exam

Robert Walker, Robert Mark Walker - 2006 - 349 páginas
...statements made, in the light of the circumstances under which they were made, not misleading, or • 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 In Plain English, the above anti-fraud statute...
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Pass the 63: A Training Guide for the NASAA Series 63 Exam

Robert Walker, Robert Mark Walker - 2006 - 238 páginas
...the statements made, in the light of the circumstances under which they are made, not misleading, or to engage in any act, practice, or course of business...would operate as a fraud or deceit upon any person See? Whether somebody fits the definition of broker-dealer, is required to be registered, or is simply...
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Pass the 65: A Training Guide for the Nasaa Series 65 Exam

Robert Walker - 2006 - 460 páginas
...the statements made, in the light of the circumstances under which they are made, not misleading, or to engage in any act, practice, or course of business...would operate as a fraud or deceit upon any person Now, let's translate the above back into a language you are probably more familiar with — English....
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Global Climate Change and U.S. Law

Michael Gerrard - 2007 - 754 páginas
...Exchange Act, specifically makes it unlawful, in connection with the purchase or sale of any security: (a) to employ any device, scheme, or artifice to defraud;...would operate as a fraud or deceit upon any person. 186. The maximum penalty for many violations of environmental laws is $27,500 per day of violation....
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Earnings Management: Emerging Insights in Theory, Practice, and Research

Joshua Ronen, Varda Yaari - 2008 - 581 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 a security. Although Rule 10b-5 does not expressly speak to...
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