 | Reinhold Trinkner - 1995 - 832 pages
...Act Release No. 3230 (May 21, 1942); 17C.FR § 240.10b-5. Rule 10b-5 lautet: „It shall be unlawful for any person, directly or indirectly, by the use...or of the mails, or of any facility of any national securities exchange, (1) to employ any device, scheme, or artifice to defraud, (2) to make any untrue... | |
 | New York University. School of Law - 1996 - 738 pages
...care, but cannot be brought more than 3 years after the sale of the security. 84 'It shall be unlawful for any person, directly or indirectly, by the use...or of the mails, or of any facility of any national securities exchange ... (b) To use or employ, in connection with the purchase or sale of any security... | |
 | United States - 1997 - 776 pages
...normal operations of the market and a natural person's freedom to buy or sell any equity security. REGULATION OF THE USE OF MANIPULATIVE AND DECEPTIVE...exchange, in contravention of such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection... | |
 | David P. McCaffrey, David W. Hart - 1998 - 220 pages
...Exchange Act of 1934, is the "centerpiece" of such litigation. The rule states: It shall be unlawful for any person, directly or indirectly, by the use...facility of any national securities exchange, (a) To employ any device, scheme, or artifice to defraud, (b) To make any untrue statement of a material fact... | |
 | 2000 - 1218 pages
...instrumentality of interstate commerce or of the mails, or of any facility of any national securities exchange [t]o effect a short sale, or to use or employ any...exchange, in contravention of such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection... | |
 | Alexandra Reed Lajoux - 2000 - 504 pages
...fraud — not just from the government. The text of Rule 10b-5 reads as follows: It shall be unlawful for any person, directly or indirectly, by the use...facility of any national securities exchange: (a) To employ any device, scheme, or artifice to defraud, (b) To make any untrue statement of a material fact... | |
 | David C. Brody, James R. Acker, Wayne A. Logan - 2001 - 674 pages
...Securities Exchange Act, and SEC Rule 10b-5. Rule 10b-5, in particular, provides: It shall be unlawful for any person, directly or indirectly, by the use...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... | |
 | Peter Grabosky, Russell G. Smith, Gillian Dempsey - 2001 - 254 pages
...4). In addition, section 10(b) of the Securities Exchange Act of 1 934 provides: It shall be unlawful for any person, directly or indirectly, by the use...or of the mails, or of any facility of any national securities exchange ... (b) To use or employ, in connection with the purchase or sale of any security... | |
 | 2001 - 966 pages
...misrepresentation *694 in the offer or sale of secundes. Rule lOb-5 provides that: U shall bo unlawful for any person, directly or indirectly, by the use...or of the mails, or of any facility of any national securities exchange, (1) to employ any device, scheme, or artifice to defraud, (2) to mtke any untrue... | |
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It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities exchange... 
