17 CFR 240.10b-5 - Employment of manipulative and deceptive devices

Cite as:17 CFR 240.10b-5
Currency:Current through December 7, 2020
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8211 practice notes
  • Part III
    • United States
    • Federal Register August 12, 2009
    • 4 Noviembre 2009
    ...for a Section 811 rule. See 73 FR at 48319 & nn.31-32. \15\ See Securities Exchange Act of 1934 (``SEA'') 10(b), 15 U.S.C. 78j(b); 17 CFR 240.10b-5 (``Rule \16\ See Natural Gas Act 4A, 15 U.S.C. 717c-1; Federal Power Act 222, 16 U.S.C. 791a; Prohibition of Natural Gas Market Manipulatio......
  • Electric utilities (Federal Power Act): Energy market manipulation; prohibition,
    • United States
    • Federal Register January 26, 2006
    • 26 Enero 2006
    ...that sections 1c.1(b) and 1c.2(b) were not intended to take away any other right that may otherwise exist. \5\ NOPR at 70 FR 61931. \6\ 17 CFR 240.10b-5 \7\ NOPR at 70 FR 61931. As explained in P 5, supra, the regulations proposed to be placed in new sections 159.1 and 47.1 will be new sect......
  • Covered Investment Fund Research Reports
    • United States
    • Federal Register December 13, 2018
    • 13 Diciembre 2018
    ...Exchange Act rule 10b-5, which requires proof of scienter in the representations made. See 15 U.S.C. 77l(a)(2); see also rule 10b-5 17 CFR 240.10b-5. \250\ Research reports that are published or distributed as rule 34b-1 supplemental sales literature also would be subject to requirements re......
  • United States Sentencing Commission,
    • United States
    • Federal Register June 06, 2001
    • 6 Junio 2001
    ...in Sec. 2B1.1 (Theft, Property Destruction, and Fraud) corresponding to that amount. Commentary Statutory Provisions: 15 U.S.C. 78j and 17 CFR 240.10b-5. For additional statutory provisions(s), see Appendix A (Statutory Application Note Application of Subsection of Sec. 3B1.3.--(Section 3B1......
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7787 cases
  • 1 F.Supp.2d 337 (S.D.N.Y. 1998), 98 CIV. 1818, S.E.C. v. Cavanagh
    • United States
    • Federal Cases United States District Courts 2nd Circuit Southern District of New York
    • 20 Abril 1998
    ...of business that operates as a fraud or deceit Page 376 upon any person, in connection with the purchase or sale of any security. 17 C.F.R. § 240.10b-5.67 Scienter is a necessary element of a Section 10(b) or Rule 10b-5 violation. Aaron v. SEC, 446 U.S. at 691. The SEC has advanced three se......
  • 100 F.Supp.2d 417 (N.D.Tex. 2000), Civ. A. 398-CV-0452, Coates v. Heartland Wireless Communications, Inc.
    • United States
    • Federal Cases United States District Courts 5th Circuit Northern District of Texas
    • 16 Junio 2000
    ...Act of 1934 (the "Exchange Act"), 15 U.S.C. § 78j(b), and Securities and Exchange Commission ("SEC") Rule 10b-5, 17 C.F.R. § 240.10b-5, promulgated thereunder. They allege that all the individual defendants except Lane are also liable under § 20(a) of the Exchange Act, 1......
  • 102 F.Supp.2d 1280 (N.D.Ala. 2000), CV99-BU-3097, Burke v. Ruttenberg
    • United States
    • Federal Cases United States District Courts 11th Circuit Northern District of Alabama
    • 7 Abril 2000
    ...Act"), 15 U.S.C. § 78j(b) and Rule 10b-5 promulgated thereunder by the Securities and Exchange Commission ("SEC"), 17 C.F.R. § 240.10b-5; claims of aiding and abetting violation of the Exchange Act in contravention of section 20 of the Exchange Act, 15 U.S.C. § 78t; and claim......
  • 122 F.Supp.2d 407 (S.D.N.Y. 2000), 99 CIV. 10488, Gabriel Capital, L.P. v. NatWest Finance, Inc.
    • United States
    • Federal Cases United States District Courts 2nd Circuit Southern District of New York
    • 13 Octubre 2000
    ...of the Securities and Exchange Act of 1934 (the "1934 Act"), 15 U.S.C. § 78j(b), and Rule 10b-5 promulgated thereunder, 17 C.F.R. § 240.10b-5, by making or participating in the making of untrue statements and by omitting material facts in order to induce plaintiffs to purchase the......
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236 firm's commentaries
37 books & journal articles
  • Cause for Concern: Causation and Federal Securities Fraud
    • United States
    • Iowa Law Review Nbr. 94-3, March 2009
    • 1 Marzo 2009
    ...[9] Securities Exchange Act of 1934, ch. 404, § 10(b), 48 Stat. 881, 891 (codified as amended at 15 u.S.C. § 78j(b) (2000)). [10] 17 C.F.R. § 240.10b-5 (2008). [11] See supra note 8 and accompanying text. [12] See supra note 6. [13] Dura Pharms., Inc. v. Broudo, 544 U.S. 336 (2005). [14] St......
  • Federal And State Takeover Laws
    • United States
    • Corporate Counsel Guides: Corporation Law
    • 3 Julio 2012
    ...only to prevent or offset damages incurred in the decision to tender shares during a tender offer. 14. 15 U.S.C.A. § 78n(e) (1997); 17 C.F.R. § 240.10b-5 (2009). 15. See infra § 24.5; Schreiber v. Burlington N., Inc., 472 U.S. 1 (1985); Mobil Corp. v. Marathon Oil Co., 669 F.2d 366 (6th Cir......
  • Outside director liability.
    • United States
    • Stanford Law Review Vol. 58 Nbr. 4, February 2006
    • 1 Febrero 2006
    ...the due diligence defense). (68.) See Exchange Act [section] 10(b), 15 U.S.C. [section] 78j(b) (2006); Exchange Act Rule 10b-5, 17 C.F.R. 240.10b-5 (2006); COFFEE & SELIGMAN, supra note 67, at 1117-30 (discussing the culpability standard under Rule 10b-5). For forward-looking statements......
  • Insider Trading and the Gradual Demise of Fiduciary Principles
    • United States
    • Iowa Law Review Nbr. 94-4, May 2009
    • 1 Mayo 2009
    ...as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors." id. [5] 17 C.F.R. § 240.10b-5 (2008). Rule 10b-5 provides that: It shall be unlawful for any person, directly or indirectly, . . . [t]o employ any device, scheme, or ......
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146 provisions
  • Part III
    • United States
    • Federal Register August 12, 2009
    • 4 Noviembre 2009
    ...for a Section 811 rule. See 73 FR at 48319 & nn.31-32. \15\ See Securities Exchange Act of 1934 (``SEA'') 10(b), 15 U.S.C. 78j(b); 17 CFR 240.10b-5 (``Rule \16\ See Natural Gas Act 4A, 15 U.S.C. 717c-1; Federal Power Act 222, 16 U.S.C. 791a; Prohibition of Natural Gas Market Manipulatio......
  • Electric utilities (Federal Power Act): Energy market manipulation; prohibition,
    • United States
    • Federal Register January 26, 2006
    • 26 Enero 2006
    ...that sections 1c.1(b) and 1c.2(b) were not intended to take away any other right that may otherwise exist. \5\ NOPR at 70 FR 61931. \6\ 17 CFR 240.10b-5 \7\ NOPR at 70 FR 61931. As explained in P 5, supra, the regulations proposed to be placed in new sections 159.1 and 47.1 will be new sect......
  • Covered Investment Fund Research Reports
    • United States
    • Federal Register December 13, 2018
    • 13 Diciembre 2018
    ...Exchange Act rule 10b-5, which requires proof of scienter in the representations made. See 15 U.S.C. 77l(a)(2); see also rule 10b-5 17 CFR 240.10b-5. \250\ Research reports that are published or distributed as rule 34b-1 supplemental sales literature also would be subject to requirements re......
  • United States Sentencing Commission,
    • United States
    • Federal Register June 06, 2001
    • 6 Junio 2001
    ...in Sec. 2B1.1 (Theft, Property Destruction, and Fraud) corresponding to that amount. Commentary Statutory Provisions: 15 U.S.C. 78j and 17 CFR 240.10b-5. For additional statutory provisions(s), see Appendix A (Statutory Application Note Application of Subsection of Sec. 3B1.3.--(Section 3B1......
  • Free signup to view additional results