... 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... Investment Advisers Act of 1940, as in Effect July 1, 1974 - Página 8por United States. Securities and Exchange Commission - 1974 - 21 páginasVisualização integral - Acerca deste livro
| 1990 - 1020 páginas
...with Customs, any stateinent which was, at the time and in light of the circumstances under »hich it was made, false or misleading with respect to any material fact, or has omitted to state in any application or report any material fact which was required. (b) The broker... | |
| United States - 1987 - 556 páginas
...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 of the circumstances...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, United States. Congress. House. Committee on Energy and Commerce - 1993 - 656 páginas
...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...it 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 - 1989 - 584 páginas
...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...it 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, United States. Congress. House. Committee on Energy and Commerce - 1993 - 660 páginas
...proceeding before a foreign financial regulatory authority with respect to registration, any statement that was at the time and in the light of the circumstances under which it was made false Sec. 15 SECURITIES EXCHANGE ACT OF 1934 110 or misleading with respect to any material fact, or has... | |
| United States - 1999 - 740 páginas
...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 of the circumstances...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)... | |
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