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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... "
General Rules and Regulations Under the Securities Exchange Act of 1934, as ... - 18. lappuse
autors: United States. Securities and Exchange Commission - 1955
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Role of U.S. Correspondent Banking in International Money Laundering ...

United States. Congress. Senate. Committee on Governmental Affairs. Permanent Subcommittee on Investigations - 2001 - 1250 lapas
...permanently enjoined from violating Section 17 (a) of the Securities Act of 1933 [15 USC S 77q(a)), directly or indirectly, by the use of any means or...any facility of any national securities exchange, to a. employ any device, scheme, or artifice to defraud; b. obtain money or property by means of any untrue...
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107-1 Hearings: Role of U.S. Correspondent Banking in International Money ...

2001 - 966 lapas
...*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 of any means or...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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Electronic Theft: Unlawful Acquisition in Cyberspace

Peter Grabosky, Russell G. Smith, Gillian Dempsey - 2001 - 254 lapas
...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 of any means or...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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Criminal Law

David C. Brody, James R. Acker, Wayne A. Logan - 2001 - 674 lapas
...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 of any means or...or of the mails or of any facility of any national securities exchange, (a) To employ any device, scheme, or artifice to defraud, [or] . . . (c) To engage...
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107-1 Hearings: Role of U.S. Correspondent Banking in International Money ...

2001 - 1104 lapas
...through 12 and 21 through 25 above, directly or indirectly, by the use of the means or instruments of interstate commerce or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of securities, as described herein, fraudulently,...
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Role of U.S. Correspondent Banking in International Money Laundering ...

United States. Congress. Senate. Committee on Governmental Affairs. Permanent Subcommittee on Investigations - 2001 - 980 lapas
...through 12 and 21 through 25 above, directly or indirectly, by the use of the means or instruments of interstate commerce or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of securities, as described herein, fraudulently,...
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Stock Option Litigation Guide

Thomas J. St. Ville - 2002 - 96 lapas
...10b-5 Rule 10b-5. Employment of Manipulative and Deceptive Devices It shall be unlawful for any person, directly or indirectly, by the use of any means or...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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Public Companies

Jonathan M. Hoff, Lawrence A. Larose, Frank J. Scaturro - 2002 - 706 lapas
...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 of any means or...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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Mergers and Acquisitions

Michael Keenan, Lawrence J. White - 2003 - 372 lapas
...CFR 240.10b-5), adopted by the commission in 1942, states that it shall be unlawful for any person, directly or indirectly, by the use of any means or...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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Handbook of Alternate Assets

Mark J. P. Anson - 2003 - 512 lapas
...Employment of Manipulative and Deceptive Devices. Rule 10b-5 states: It shall be unlawful for any person, directly or indirectly, by the use of any means or...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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