 | United States. Supreme Court, John Chandler Bancroft Davis, Henry Putzel, Henry C. Lind, Frank D. Wagner - Courts - 1979 - 996 pages
...of stock. Opinion of the Court 445 U. 8. "(a) To employ any device, scheme, or artifice to defraud, [or] "(c) To engage in any act, practice, or course...any person, in connection with the purchase or sale of any security." 17 CFR § 240.10b-5 (1979). This case concerns the legal effect of the petitioner's... | |
 | United States. Securities and Exchange Commission - Securities - 1955 - 1022 pages
...statements made, in the light of the circumstances under which they were made, not misleading, or (3) to engage in any act, practice, or course of business...any person, in connection with the purchase or sale of any security." decided to withdraw his investment and dissolve the partnership, to which Hammill... | |
 | United States. Securities and Exchange Commission - Securities - 1953 - 824 pages
...statements made, In the light of the circumstances under which they were made, not misleading, or (3) to engage In any act, practice, or course of business...any person, In connection with the purchase or sale of any security. Rule X-15C1-2 provides : (a) The term "manlpultlve, deceptive, or other fraudulent... | |
 | United States. Securities and Exchange Commission - Securities - 1955 - 920 pages
...statements made, in the light of the circumstances under which they were made, not misleading, or "(3) to engage in any act, practice, or course of business...any person, In connection with the purchase or sale of any security." Section IS (c) (1) provides as follows: "No broker or dealer shall make use of the... | |
 | United States. Securities and Exchange Commission - Securities - 1956 - 1016 pages
...statements made, in the light of the circumstances under which they were made, not misleading, or "(3) to engage in any act, practice, or course of business...upon any person, in connection with the purchase or sate of any security." Rule X-16C1-2 provides in part: " (a) The term 'manipulative, deceptive, or... | |
 | Administrative law - 1970 - 670 pages
...position in such securities. (Sec. 10, 48 Stat. 891; 15 USC 78j) [33 FR 8269, June 4, 19681 § 240.lOb—5 Employment of manipulative and deceptive devices....sale of any security. (Sec. 10; 48 Stat. 891; 15 USC 78j) [13 PR 8183, Dec. 22, 1948, as amended at 16 PR 7928, Aug. 11, 1951J § 240.lOb-6 Prohibitions... | |
 | Administrative law - 1971 - 660 pages
...position in such securities. <Sec. 10, 48 Stat. 891; 15 USC 78J) [88 FR 8269, June 4, 1968] § 240.10b-5 Employment of manipulative and deceptive devices....purchase or sale of any security. (Sec. 10; 48 Stat. 891; 16 USC 78J) [13 PB 8183, Dec. 22, 1948, as amended at 16 FR 7928, Aug. 11, 1951] § 240.10b-6 Prohibitions... | |
 | Administrative law - 1999 - 944 pages
...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...sale of any security. (Sec. 10; 48 Stat. 891; 15 USC 78j) [13 FR 8183, Dec. 22. 1948, as amended at 16 FR 7928, Aug. 11, 1951] §§240.10be— 240.10b-8... | |
 | Administrative law - 1988 - 800 pages
...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...sale of any security. (Sec. 10; 48 Stat. 891; 15 USC 78j) [13 FR 8183, Dec. 22, 1948, as amended at 16 FR 7928, Aug. 11, 1951] §240.10b-6 Prohibitions... | |
 | Administrative law - 2001 - 994 pages
...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...sale of any security. (Sec. 10: 48 Stat. 891: 15 USC 78j) [13 FR 8183. Dec. 22. 1948. as amended at 16 FR7928, Aug. 11. 1951] ?240.10b5-] Trading "on the... | |
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... (a) To employ any device, scheme, or artifice to defraud, (b) To make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were... 
