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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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Secondary Market Tax-exempt Asset Securitization for Sponsors, Investors ...

Darrell R. Larsen - 2005 - 340 lapas
...national securities exchange.46 Rule 10b-5 prohibits persons from using any means or 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; (b) to make any untrue...
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The American Legal System: Perspectives, Politics, Processes, and Policies

Albert P. Melone, Allan Karnes - 2008 - 724 lapas
...has adopted Rule 10b-5, which provides in relevant part 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, I. To employ any device, scheme, or artifice to defraud, [or] . . . (c) To engage...
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