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 made, not misleading, or "(c) To engage in any act, practice, or... Decisions and Reports - Page 377by United States. Securities and Exchange Commission - 1953Full view - About this book
| United States. Supreme Court, John Chandler Bancroft Davis, Henry Putzel, Henry C. Lind, Frank D. Wagner - 1979 - 996 pages
...10 (b), makes it unlawful for any person to "employ any device, scheme, or artifice to defraud," or to "engage in any act, practice, or course of business...any person, in connection with the purchase or sale of any security." Petitioner, who was employed by a financial printer that had been engaged by certain... | |
| United States. Securities and Exchange Commission - 1970 - 166 pages
...material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or (3) to engage...connection with the purchase or sale of any security. Rule 10b-6. Prohibitions Against Trading by Persons Interested in a Distribution (a) It shall constitute... | |
| United States. Securities and Exchange Commission - 1956 - 900 pages
...material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or (3) to engage...any person, in connection with the purchase or sale of any security. S3 3 s =K fc UJ SECURITIES AND EXCHANGE COMMISSION Rule 10b-6. Prohibitions Against... | |
| United States. Securities and Exchange Commission - 1956 - 1016 pages
...material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading, or "(3) to engage...upon any person, in connection with the purchase or sate of any security." Rule X-16C1-2 provides in part: " (a) The term 'manipulative, deceptive, or... | |
| United States. Securities and Exchange Commission - 1956 - 716 pages
...he sold 700 shares through Butler, Wick & Co. of Youngstown ; 65c a share on January 8, 1946, on the "(3) to engage in any act, practice, or course of...any person, in connection with the purchase or sale of any security.** Section 16 (c) (1) provide*: "No broker or dealer anal] make use of the malls or... | |
| United States. Securities and Exchange Commission - 1953 - 734 pages
...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...any person, In connection with the purchase or sale of any security. Bale X-15C1-2 provides : (a) The term "manipulative, deceptive, or other fraudulent... | |
| United States. Securities and Exchange Commission - 1949 - 1134 pages
...material fact necessary in order to make the statements made, in the Ufht of the circumstances under which they were made, not misleading, or (3) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon... | |
| United States. Securities and Exchange Commission - 1953 - 824 pages
...material fact necessary In order to make the statements made. in the light of the circumstances under which they were made, not misleading, or (3) to engage In any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon... | |
| United States - 1953 - 1692 pages
...material fact necessary in order to make the statements made, in the light of the circumstances under + transaction, practice, or course of business which operates or would operate as a fraud or deceit upon... | |
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