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" ... 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... "
United States Code - 1699. lappuse
autors: United States - 1953
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Public Companies

Jonathan M. Hoff, Lawrence A. Larose, Frank J. Scaturro - 2002 - 706 lapas
...connection with the purchase or sale of any security." 17 CFR § 240.1()(b)-5. 43 "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...
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Bezugsrechtsausschluss im Spannungsfeld zwischen unternehmerischen Ermessen ...

Erhan Seyfi Moroğlu - 2003 - 372 lapas
...prospective, of such consideration and the amount thereof." 588 SEA, Section 10. Regulation of the Use of Manipulative and Deceptive Devices: „It shall be...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 registered...
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Compliance im Wertpapierdienstleistungskonzern

Thomas Lösler - 2003 - 368 lapas
...bewusst gewesen ist. Vgl. Dingeldey RIW 1983, 81, 84. 309 Rule 10(b)-5 SEA lautet „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...
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Handbook of Alternate Assets

Mark J. P. Anson - 2003 - 512 lapas
...Rule 10b-5: Employment of Manipulative and Deceptive Devices. Rule 10b-5 states: 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...
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Mergers and Acquisitions

Michael Keenan, Lawrence J. White - 2003 - 372 lapas
...Notes 1. Section 10(b) of the Securities Exchange Act of 1934 reads as follows: 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 registered...
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Compilation of Securities Laws Within the Jurisdiction of the Committee on ...

United States - 2003 - 946 lapas
...title. REGULATION OF THE USE OF MANIPULATIVE AND DECEPTIVE DEVICES SEC. 10. [78j] 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 — (a)(1) To effect a short sale, or to use or employ any stoploss order in connection...
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Franchising & Licensing: Two Powerful Ways to Grow Your Business in Any Economy

Andrew J. Sherman - 2004 - 454 lapas
...application in the prosecution of insider trading cases. Here's the text of Rule 10b-5: 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 to: (a) employ any device, scheme, or artifice to defraud; (b) make any untrue...
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Financial Reporting of Environmental Liabilities and Risks after Sarbanes-Oxley

C. Gregory Rogers - 2005 - 407 lapas
...light of the circumstances under which they are made not misleading.2 Rule10b-5 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, To employ any device, scheme, or artifice to defraud, To make any untrue statement...
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U.S. Regulation of Hedge Funds

Douglas L. Hammer - 2005 - 398 lapas
...(a)."'7 1 . Exchange Act Provisions Exchange Act Section 10(b) provides that: 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...
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国际私法

徐冬根, 王国华, 萧凯 - 2005 - 372 lapas
...券的过程中的任何重大的虚假陈述、 重大事实的隐瞒以及其他欺诈手段。 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, (a)To employ any device, scheme, or artifice to defraud, (b)To make any untrue...
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