 | New York University. School of Law - 1996 - 738 lapas
...care, but cannot be brought more than 3 years after the sale of the security. 84 '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... | |
 | David P. McCaffrey, David W. Hart - 1998 - 220 lapas
...Exchange Act of 1934, is the "centerpiece" of such litigation. The rule states: 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... | |
 | Alexandra Reed Lajoux - 2000 - 504 lapas
...fraud — not just from the government. The text of Rule 10b-5 reads as follows: 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... | |
 | David C. Brody, James R. Acker, Wayne A. Logan - 2001 - 674 lapas
...Securities Exchange 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...facility of any national securities exchange, (a) To employ any device, scheme, or artifice to defraud, [or] . . . (c) To engage in any act, practice, or... | |
 | 2001 - 966 lapas
...misrepresentation *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...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... | |
 | Peter Grabosky, Russell G. Smith, Gillian Dempsey - 2001 - 254 lapas
...4). In addition, 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...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... | |
 | Thomas J. St. Ville - 2002 - 96 lapas
...10(b) Regulation of the Use of Manipulative and Deceptive Devices Section 10. 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... | |
 | 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... | |
 | United States - 2003 - 946 lapas
...Gramm-Leach-Bliley Act) shall be subject to the restrictions and limitations of section 3A(b) of this title. REGULATION OF THE USE OF MANIPULATIVE AND DECEPTIVE...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... | |
| |
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... 
