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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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Franchising & Licensing: Two Powerful Ways to Grow Your Business in Any Economy

Andrew J. Sherman - 2004 - 454 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 - 1108 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 - 2005 - 398 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 - 407 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 - 164 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 - 382 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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Secondary Market Tax-exempt Asset Securitization for Sponsors, Investors ...

Darrell R. Larsen - 2005 - 340 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 - 326 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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Pass the 6: A Training Guide for the NASD Series 6 Exam

Robert Mark Walker - 2006 - 363 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 Mark Walker - 2006 - 245 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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