 | 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... | |
 | 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... | |
 | 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... | |
 | Sverige. Prospektutredningen - 2005 - 164 lapas
...lagstiftningen avsett erbjuda ett särskilt skydd. Rule 10 b-5 har följande lydelse: It shall be unlawful for any person, directly or indirectly, by the use...commerce, or of the mails, or of any facility of any securities exchange, (1) To employ any device, scheme, or artifice to defraud, (2) To make any untrue... | |
 | Hui Huang, Robin Hui Huang - 2006 - 382 lapas
...market). 19. 15 USC §78j(b) (2001). In pertinent part, the text 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... | |
 | James M. Bartos, Jim Bartos - 2006 - 326 lapas
...specifically by the material misrepresentation, not other factors.10 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... | |
 | Albert P. Melone, Allan Karnes - 2008 - 724 lapas
...Exchange Commission has adopted Rule 10b-5, which provides in relevant part 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, I. To employ any device, scheme, or artifice to defraud, [or] . . . (c) To engage... | |
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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. 
