 | 1984 - 1132 páginas
[ Lo sentimos, el contenido de esta página está restringido. ] | |
 | Randall K. Morck - 2007 - 404 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... | |
 | John H. Mathias, David M. Kroeger, Matthew M. Neumeier, Jerry J. Burgdoerfer - 2000 - 716 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... | |
 | Alexandra Reed Lajoux - 2000 - 504 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... | |
 | Robert Sobel - 2000 - 280 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... | |
 | 2000 - 1218 páginas
...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... | |
 | John W. Reilly - 2000 - 494 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... | |
 | David C. Brody, James R. Acker, Wayne A. Logan - 2001 - 674 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... | |
| |
... (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... 
