 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, "(a) To employ any device, scheme, or artifice to defraud...  Nomination of William J. Casey: Hearings, Ninety-second Congress, First ... - Página 443por United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs - 1971 - 785 páginasVista completa - Acerca de este libro
 | 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 of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities... | |
 | 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 of any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities... | |
 | Calvin J. Larson, Gerald R. Garrett - 1996 - 424 páginas
...In particular, section 10(b) of the Securities Exchange Act of 1934 states that it shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce or the mails, or of any facility of any national securities... | |
 | New York University. School of Law - 1996 - 738 páginas
...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 of any means or instrumentality of interstate commerce or of the mails, or of any facility of any national securities... | |
 | United States - 1997 - 776 páginas
...security. REGULATION OF THE USE OF MANIPULATIVE AND DECEPTIVE DEVICES SEC. 10. [78j] 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... | |
 | Gerry Ferguson - 1998 - 624 páginas
...the Singapore Companies Act). 87 US Rule 10b-5 (17 CFR § 240) provides that: lt shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of any mails or of any facility of any national securities... | |
 | David P. McCaffrey, David W. Hart - 1998 - 220 páginas
...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 of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities... | |
 | Alexandra Reed Lajoux - 2000 - 504 páginas
...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 of any means or instrumentality of interstate commerce, or of the mails, or of any facility of any national securities... | |
 | David C. Brody, James R. Acker, Wayne A. Logan - 2001 - 674 páginas
...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 of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities... | |
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