 | United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs - 2003 - 718 páginas
...made any statement in any report or document required to be filed under section 201(d) which statement was at the time, and in the light of the circumstances...was made, false or misleading with respect to any material fact, shall be liable to any person (not knowing that such statement was false or misleading)... | |
 | United States. Congress. House Interstate and Foreign Commerce - 1968 - 894 páginas
...such — "(1) has willfully made or canned to be made in any application for registration or report filed with the Commission under this title, or in...or misleading with respect to any material fact, or who has omitted to state In any such application or report any material fact which Is required to be... | |
 | United States - 1973 - 402 páginas
...a national securities exchange, for the purpose of inducing the purchase or sale of such security, any statement which was at the time and in the light...was made, false or misleading with respect to any material fact, and which he knew or had reasonable ground to believe was so false or misleading. (3)... | |
 | 1934 - 992 páginas
...a national securities exchange, for the purpose of inducing the purchase or sale of such security, any statement which was at the time and in the light...was made, false or misleading with respect to any material fact, and which he knew or had reasonable ground to believe was so false or misleading. (5)... | |
 | United States - 1944 - 296 páginas
...pursuant to any provisions of this title, or any rule, regulation, or order thereunder, which statement was at the time and in the light of the circumstances...or misleading with respect to any material fact, or who shall omit to state any material fact required to be stated therein or necessary to make the statements... | |
 | United States - 1991 - 692 páginas
...associated with such broker or dealer, whether prior or subsequent to becoming so associated — (A) has willfully made or caused to be made in any application...or report required to be filed with the Commission or with any other appropriate regulatory agency under this title, or in any proceeding before the Commission... | |
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... or any rule or regulation thereunder or any undertaking contained in a registration statement as provided in subsection (d) of Section 15 of this title, which statement was at the time and in the light of the circumstances under which it was made... 
