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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... "
Compilation of Securities Laws Within the Jurisdiction of the Committee on ... - Página 67
por United States - 1987
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Short-selling Activity in the Stock Market: The Effects on Small ..., Volume 4

United States. Congress. House. Committee on Government Operations. Commerce, Consumer, and Monetary Affairs Subcommittee - 1991 - 1358 páginas
...a later date by purchasing the security at a lower price. 2 15 USC 578j. CRS-2 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-- la) To effect a short sale, or to use or employ any stoploss order in connection...
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Die Pflicht zur Gleichbehandlung der Aktionäre bei privaten ...

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...
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Corporate Internal Investigations

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...
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Compilation of Securities Laws Within the Jurisdiction of the ..., Volume 4

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,...
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Due Diligence in Business Transactions

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...
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Private Litigation Under the Federal Securities Laws: Hearings ..., Volume 4

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - 1994 - 924 páginas
...prescribe . . .." Rule 10b-5 promulgated under Section I0(b) provides 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, (1) to employ any device, scheme, or artifice to defraud. (2) to make any untrue...
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The Alleged Transnational Criminal: The Second Biennial International ...

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...
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Common Sense Legal Reform Act: Hearings Before the Subcommittee on ..., Volume 4

United States. Congress. House. Committee on Commerce. Subcommittee on Telecommunications and Finance - 1995 - 358 páginas
...and SEC Rule 10b-5 thereunder. Section 10(b) provides, in pertinent 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 "(b) to use or imply, in connection with the purchase or sale of any security registered...
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Lebendiges Recht: von den Sumerern bis zur Gegenwart : Festschrift für ...

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...
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Ferrara on Insider Trading and the Wall

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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