 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
 | United States. Congress. House. Committee on Education and the Workforce - 2003 - 288 páginas
...larger shareholders. • Deceptive Acts or Practices Issues As discussed above, Rule l0b-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".... | |
 | Andrew J. Sherman - 2004 - 454 páginas
...application in the prosecution of insider trading cases. Here's the text of Rule 10b-5: 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. Congress. Senate. Committee on Governmental Affairs - 2004 - 1748 páginas
...larger shareholders. • Deceptive Acts or Practices Issues As discussed above, Rule IOb-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".... | |
 | Douglas L. Hammer - 2005 - 398 páginas
...10(b), the SEC adopted Rule 10b-5 on May 21, 1942.16" 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... | |
 | C. Gregory Rogers - 2005 - 407 páginas
...light of the circumstances under which they are made not misleading.2 Rule10b-5 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... | |
 | 徐冬根, 王国华, 萧凯 - 2005 - 372 páginas
...券的过程中的任何重大的虚假陈述、 重大事实的隐瞒以及其他欺诈手段。 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... | |
 | Gregory Lyon, J. J. Du Plessis - 2005 - 244 páginas
...direct means of enforcement. Likewise, the suggestion to 45 Rule 10b-5 provides: 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... | |
 | Sverige. Prospektutredningen - 2005 - 164 páginas
...lagstiftningen avsett erbjuda ett särskilt skydd. Rule 10 b-5 har följande lydelse: 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 securities exchange,... | |
 | Hui Huang, Robin Hui Huang - 2006 - 382 páginas
...market). 19. 15 USC §78j(b) (2001). In pertinent part, the text 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... | |
 | Thomas W. Golden, Steven L. Skalak, Mona M. Clayton, Jessica S. Pill - 2006 - 578 páginas
...Securities Exchange Act of 1934 [Public Law 73-291, 73rd Cong., 2d sess., 13 (1934)]: "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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