 | 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... | |
 | 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... | |
 | Erhan Seyfi Moroğlu - 2003 - 372 lapas
...SEA, Section 10. Regulation of the Use of Manipulative and Deceptive Devices: „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... | |
 | 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... | |
 | 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... | |
 | 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... | |
 | 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... | |
 | 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... | |
 | 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... | |
 | Thomas W. Golden, Steven L. Skalak, Mona M. Clayton, Jessica S. Pill - 2006 - 578 lapas
...Securities Exchange Act of 1934 [Public Law 73-291, 73rd Cong., 2d sess., 13 (1934)]: "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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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... 
