17 CFR 240.10b-5 - Employment of manipulative and deceptive devices
Cite as | 17 CFR 240.10b-5 |
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8048 practice notes
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Part II
...\130\ See Securities Act Rule 408 (17 CFR 230.408); Exchange Act Section 10(b) (15 U.S.C. 78j(b)); Exchange Act Rule 10b-5 (17 CFR 240.10b-5); and Exchange Act Rule 12b-20 (17 CFR b. Depositor We propose to define the ``depositor'' as the person who receives or purchases and transfers or se......
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Exemptive Orders:
...the Federal Register Online via the Government Printing Office [www.gpo.gov] FR Doc No: 2011-15432 SECURITIES AND EXCHANGE COMMISSION 17 CFR Part 240 Release No. 34-64678; File No. Temporary Exemptions and Other Temporary Relief, Together With Information on Compliance Dates for New Provisi......
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United States Sentencing Commission,
...Destruction, and Fraud) corresponding to the gain resulting from the offense. Commentary Statutory Provisions: 15 U.S.C. 78j and 17 CFR 240.10b-5. For additional statutory provision(s), see Appendix A (Statutory Index). Application Section 3B1.3 (Abuse of Position of Trust or Use of Special......
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Separate Parts In This Issue
Part II
Securities and Exchange Commission,
...Act meet this standard. \32\ Paragraph 3 of certification exhibit in Item 10(b) of Form N-CSR. \33\ Rule 10b-5 under the Exchange Act [17 CFR 240.10b-5] provides that: ``It shall be unlawful for any person, directly or indirectly, * * * to make any untrue statement of a material fact or to ......
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7616 cases
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Coronet Ins. Co. v. Seyfarth, No. 86 C 1935.
...Section 10(b) of the Securities Exchange Act of 1934 ("Exchange Act"), 15 U.S.C. § 78j(b), Securities Exchange Commission Rule 10b-5, 17 C.F.R. § 240.10b-5, Section 14(e) of the Exchange Act, 15 U.S.C. § 78n(e), the Racketeering Influence and Corrupt Organizations Act ("RICO"), 18 U.S.C. § ......
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Harris v. Koenig, Civil Action No. 02-618 (GK).
...violated Section 10(b) of the Securities Exchange Act of 1934, 15 U.S.C. § 78j(b), and Securities and Exchange Commission Rule 10b-5, 17 C.F.R. § 240.10b-5. See In re Waste Mgmt., Inc. Sec. Litig., CA 97-7709 (N.D.Ill.) ("Illinois Securities On February 24, 1998, Old Waste announced that it......
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SEC v. Lorin, No. 90 Civ. 7461 (HB).
...78i(a)(2), 78j(b), 78o(c)(1)(2), and 78q(a)(1) (1988), and SEC Rules 10b-5, 15c1-2, 15c2-7, 17a-3 and 17a-4 promulgated thereunder, 17 C.F.R. §§ 240.10b-5, 240.15c1-2, 240.15c2-7, 240.17a-3, and 240.17a-4 The SEC seeks a permanent injunction prohibiting the defendants from violating the abo......
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Ong v. Chipotle Mexican Grill, Inc., 16 Civ. 141 (KPF)
...§§ 10(b) and 20(a) of the Securities Exchange Act of 1934, 15 U.S.C. §§ 78j(b) and 78t(a), and Rule 10b-5 promulgated thereunder, 17 C.F.R. § 240.10b-5. The Court previously dismissed Plaintiffs' First Amended Complaint (the "FAC"), and Defendants now move to dismiss the Second Amended Comp......
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248 firm's commentaries
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Is Summary Judgment appropriate when a company pleads an "Amway safeguards defense?"
...which operates or would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security." 17 C.F.R. § 240.10b-5(c). Federal antifraud securities laws are to be construed broadly. Herman & MacLean v. Huddleston, 459 U.S. 375, 386-87, 103 S.Ct. 683, 689, ......
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The Evisceration of the Federal Securities Law
...(D. Mass. 1987). 39 721 F.3d 95 (2d Cir. 2013). 40 Am. Pipe & Constr. Co. v. Utah, 414 U.S. 538, 551 (1974). 41 15 U.S.C. § 77k. 42 17 C.F.R. § 240.10b-5. 43 223 F.3d 1155, 1168 (10th Cir. 2000) 44 Petition for a Writ of Certiorari at i, Police & Fire Ret. Sys. v. IndyMac MBS, Inc., No. 13-......
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Recent Trends in Class Action and Aggregate Litigation in the Life Sciences Industry
...30 (1st Cir. 2012) (quoting Merrill Lynch, Pierce, Fenner & Smith Inc. v. Dabit, 547 U.S. 71, 86 (2006)). 23. 15 U.S.C. § 78j(b). 24. 17 C.F.R. § 240.10b-5. 25. Dura Pharm., Inc. v. Broudo, 544 U.S. 336, 345 (2005). 26. Id. at 341–42 (internal citations omitted). 27. Pub. L. No. 104-67, 109......
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Is a scheme a "common enterprise" if the factor linking the fortunes of the parties is at the option of one of the parties?
...may prescribe as necessary or appropriate in the public interest or for the protection of investors." FN7. S.E.C. rule 10b-5, 17 C.F.R. § 240.10b-5, provides: "It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or ......
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56 books & journal articles
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Equitable Limits On Acquisitions And Defensive Maneuvers
...(2009). 27. Bird v. Wirtz, 266 N.W.2d 166 (Minn. 1978); Berkowitz v. Power/Mate Corp., 342 A.2d 566 (N.J. Super. Ch. Ct. 1975). 28. 17 C.F.R. § 240.10b-5 (2009). 29. 15 U.S.C. § 78n(e) (2009). 30. 17 C.F.R. § 240.13e-4 (2009). 31. Id. § 240.13e-3. 32. 17 C.F.R. § 240.13e-3(a)(3) cox85509_23......
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Federal And State Takeover Laws
...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......
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SECURITIES FRAUD
...id. § 78p(a) (defining failure to file required statements by an owner of ten percent or more of a class of securities). 6. 17 C.F.R. § 240.10b-5 (2019). Section 17(a), the general fraud provision of the 1933 Act, is also used occasionally in criminal prosecutions. See 15 U.S.C. § 77q(a).......
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Let's be frank: the future direction of controlling person liability remains uncertain.
...which operates or would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security. 17 C.F.R. 240.10b-5 (37.) 762 F.2d 621, 630-31 (8th Cir. 1985) (requiring plaintiff prove defendant actually participated in operations and possessed power to contr......
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1 provisions
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HB 312 – Permits certain intrastate equity crowdfunding
...provision of the federal securities laws, including, but not limited to, 15 U.S.C. 77q(a)(1), 78j(b), 78o(c)(1), and 80b-6(1), and 17 C.F.R. 240.10b-5 or any other regulation adopted thereunder; (b) 15 U.S.C. 77e, division (C)(1) of section 1707.44 of the Revised Code, or any state securiti......