 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
 | 2001 - 966 páginas
...misrepresentation *694 in the offer or sale of secundes. Rule lOb-5 provides that: U shall bo 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... | |
 | Peter Grabosky, Russell G. Smith, Gillian Dempsey - 2001 - 254 páginas
...4). In addition, section 10(b) of the Securities Exchange Act of 1 934 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... | |
 | Craig M. Scott - 2001 - 776 páginas
...10(b) of the Securities Exchange Act of 1934, 15 USC s. 78j(b) (1994) which states that it is unlawful for "any person", directly or indirectly, by the use of any means to employ any manipulative or deceptive device or contrivance in contravention of the rules and regulations... | |
 | Jonathan M. Hoff, Lawrence A. Larose, Frank J. Scaturro - 2002 - 706 páginas
...connection with the purchase or sale of any security." 17 CFR § 240.1()(b)-5. 43 "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... | |
 | Thomas J. St. Ville - 2002 - 96 páginas
...10(b) Regulation of the Use of Manipulative and Deceptive Devices Section 10. 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... | |
 | Michael Keenan, Lawrence J. White - 2003 - 372 páginas
...Notes 1. Section 10(b) of the Securities Exchange Act of 1934 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... | |
 | Erhan Seyfi Moroğlu - 2003 - 372 páginas
...SEA, Section 10. Regulation of the Use 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... | |
 | Mark J. P. Anson - 2003 - 512 páginas
...Rule 10b-5: Employment of Manipulative and Deceptive Devices. Rule 10b-5 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... | |
 | Thomas Lösler - 2003 - 368 páginas
...bewusst gewesen ist. Vgl. Dingeldey RIW 1983, 81, 84. 309 Rule 10(b)-5 SEA lautet „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... | |
 | 2003 - 326 páginas
...ULLlCO's larger shareholders. Deceptive Acts or Practices Issues* As discussed above, Rule 10b-5 prohibits any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce. . .from (a) employing "any device, scheme, or artifice to defraud".... | |
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