| Jürgen Reul - 1991 - 378 páginas
...public interest or for the protection of Investors. " "- Rule 10b-5 lautet: „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... | |
| Dan K. Webb, Robert W. Tarun, Steven F. Molo - 2023 - 1436 páginas
...Manipulative and Deceptive Devices." (17 CFR § 240.10b-5). This rule 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. "(b) To make any untrue statement of a material... | |
| United States, United States. Congress. House. Committee on Energy and Commerce - 1993 - 660 páginas
...normal operations of the market and a natural person's freedom to buy or sell any equity security. REGULATION OF THE USE OF MANIPULATIVE AND DECEPTIVE...directly or indirectly, by the use of any means or instrumentality of interstate 75 SECURITIES EXCHANGE ACT OF 1934 Sec. 11 commerce or of the mails,... | |
| Gary M. Lawrence - 2023 - 1506 páginas
...for the protection of investors."64 Correspondingly, Rule 10b-5 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, "(1) to employ any device, scheme, or artifice to defraud, "(2) to make any untrue... | |
| Richard D. Atkins - 1995 - 478 páginas
...and when. Appendix 1 Rule 10b-5 Employment of Manipulative and Deceptive Devices 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... | |
| Reinhold Trinkner - 1995 - 832 páginas
...Act Release No. 3230 (May 21, 1942); 17C.FR § 240.10b-5. Rule 10b-5 lautet: „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... | |
| Ralph C. Ferrara, Herbert Thomas, Donna M. Nagy - 2023 - 960 páginas
...the protection of investors." 4 17 CFR § 240.10b-5. Rule 10b-5 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, fraud or deceit upon any person in connection with the purchase or sale of securities.... | |
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