Employment of manipulative and deceptive devices
| Currency | Current through May 31, 2023 |
| Citation | 17 C.F.R. §240.10b-5 |
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225 cases
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In re New York City Municipal Securities Litigation
...Securities Exchange Act of 1934 (the "Exchange Act" or the "1934 Act"), 15 U.S.C. § 78j(b), and Rule 10b-5 promulgated thereunder, 17 C.F.R. § 240.10b-5. Eleven separate lawsuits have been consolidated for pretrial matters in this litigation.3 In five of the actions, the City is named as a ......
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Bajjuri v. Raytheon Techs. Corp.
...605 (9th Cir. 2014) ("Rule 9(b) applies to all elements of a securities fraud action"); see also 15 U.S.C. §§ 78j(b), 78u-4(b)(1); 17 C.F.R. § 240.10b-5. III. The Court begins with a housekeeping item. In Motion II, Raytheon asks the Court to notice materials attached to Motion I as Exhibit......
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SS Richmond LLC v. Harrison
...28 U.S.C. § 1658(b) governs the statute of limitations for Plaintiffs' securities fraud claim pursuant to 15 U.S.C. § 78j(b) and 17 C.F.R. § 240.10b-5. Section 1658(b) states:a private right of action that involves a claim of fraud, deceit, manipulation, or contrivance in contravention of a......
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In re Bos. Sci. Corp. Sec. Litig.
...caused artificial inflation of Boston Scientific common stock, in violation of Section 10(b), 15 U.S.C. § 78j(b) and Rule 10b-5, 17 C.F.R. § 240.10b-5 (Count I) and in violation of Section 20(a) of the Securities Exchange Act of 1934, 15 U.S.C. § 78t(a) (Count Defendants have moved to dismi......
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62 firm's commentaries
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SEC Investigations: A Guide for Public Company Directors, Officers, and In-House Counsel
...Act. 15 U.S.C. § 78u(c). 10 Securities Exchange Act of 1934, Pub. L. 73–291, 48 Stat. 881, 15 U.S.C. § 78a et seq.; SEC Rule 10b-5, 17 C.F.R. § 240.10b-5. 11 Securities Act of 1933, 48 Stat. 74, 15 U.S.C. § 77a et seq. 12 There are other antifraud provisions in the federal securities laws. ......
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Is the issuance of notes on a due debt in order to reserve funds for operations a sale of investment paper?
...and of the anti-fraud provisions *518 of the Securities Exchange Act of 1934, 15 U.S.C. 78j(b) (1970) and Rule 10b-5 thereunder, 17 CFR § 240.10b-5 (1973), [FN3] and petitioned for the appointment of a receiver of all assets and property belonging to or in its possession. The district court......
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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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Annual Review of Federal Securities Regulation - The Business Lawyer, Vol. 70, Iss. 3
...notes 61–69 and accompanying text. 29. FED. R. CIV. P. 23(b)(3). 30. Basic Inc. v. Levinson, 485 U.S. 224, 243 (1988) (interpreting 17 C.F.R. § 240.10b-5). 31. Id. at 32. Id. at 243–47 (plurality opinion). “Recent empirical studies have tended to confirm Congress’ premise that the market pr......
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33 books & journal articles
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Can We Talk Climate? The SEC Disclosure Rule and Compelled Commercial Speech
...note 219 and accompanying text. 279. See supra note 220 and accompanying text. 280. See supra note 158 and accompanying text. 281. See 17 C.F.R. §240.10b-5. 282. See supra note 219 and accompanying text. 283. See supra note 162 and accompanying text. 53 ELR 10954 ENVIRONMENTAL LAW REPORTER ......
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Unveiling Management's Crystal Ball
...information. 32 22. See infra Part V. 23. Securities Exchange Act of 1934, 15 U.S.C. §§ 78a–78nn (2012). 24. Id. § 78j. 25. 17 C.F.R § 240.10b-5 (2016). 26. See Sargent v. Genesco, Inc., 492 F.2d 750, 760 (5th Cir. 1974) (“The basic intent of . . . [R]ule 10b-5 . . . is to protect investors......
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§ 1.04 Establishing Liability For Unlawful Offers/Sales/ Purchases
...has often been referred to as the "anti-fraud" provision of the WSSA and has similarities to the language of SEC Rule 10b-5 (17 C.F.R. § 240.10b-5), promulgated under Section 10(b) of the Securities Exchange Act (15 U.S.C. §§ 78j(b)), which is directed at securities fraud. But while section......
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Crypto Assets and Insider Trading Law's Domain
.... Securities Exchange Act of 1934, Pub. L. No. 73-291, § 10(b), 48 Stat. 881, 891 (codified as amended at 15 U.S.C. § 78(j) (2012)); 17 C.F.R. § 240.10b-5 (commonly known as Rule 10b-5). 93 . See Chiarella v. United States, 445 U.S. 222, 233–35 (1980) (rejecting “a general duty between all ......
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