17 CFR 240.10b-5 - Employment of manipulative and deceptive devices
| Cite as | 17 CFR 240.10b-5 |
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7979 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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7546 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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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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U.S. v. Wiles, Nos. 94-1592
...Count two of the respective indictments charged Wiles and Schleibaum with securities fraud under 15 U.S.C. §§ 78j(b), 78ff(a), and 17 C.F.R. § 240.10b-5. Specifically, the count alleged that Defendants violated the securities laws by: (1) employing a scheme to defraud, (2) making untrue sta......
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248 firm's commentaries
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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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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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Windfalls.
...The Securities and Exchange Commission did not promulgate Rule 10b-5, the provision used to police insider trading, until 1948. See 17 C.F.R. 240.10b-5 (1998). (262.) See Daniel R. Fischel, Insider Trading and Investment Analysts: An Economic Analysis of Dirks v. Securities and Exchange Com......
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Outside director liability.
...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......
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Insider Trading and the Gradual Demise of Fiduciary Principles
...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 artif......
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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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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......