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

Cite as17 CFR 240.10b-5
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7979 practice notes
  • Part II
    • United States
    • Federal Register May 13, 2004
    • May 13, 2004
    ...\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......
  • Exemptive Orders:
    • United States
    • Federal Register June 22, 2011
    • June 22, 2011
    ...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......
  • United States Sentencing Commission,
    • United States
    • Federal Register January 26, 2001
    • January 26, 2001
    ...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......
  • Separate Parts In This Issue Part II Securities and Exchange Commission,
    • United States
    • Federal Register February 03, 2003
    • February 3, 2003
    ...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
  • Coronet Ins. Co. v. Seyfarth, No. 86 C 1935.
    • United States
    • United States District Courts. 7th Circuit. United States District Court (Northern District of Illinois)
    • July 16, 1987
    ...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. § ......
  • Harris v. Koenig, Civil Action No. 02-618 (GK).
    • United States
    • United States District Courts. United States District Court (Columbia)
    • March 12, 2009
    ...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......
  • Ong v. Chipotle Mexican Grill, Inc., 16 Civ. 141 (KPF)
    • United States
    • United States District Courts. 2nd Circuit. United States District Courts. 2nd Circuit. Southern District of New York
    • March 22, 2018
    ...§§ 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......
  • U.S. v. Wiles, Nos. 94-1592
    • United States
    • United States Courts of Appeals. United States Court of Appeals (10th Circuit)
    • December 10, 1996
    ...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
56 books & journal articles
  • Windfalls.
    • United States
    • Yale Law Journal Vol. 108 Nbr. 7, May 1999
    • May 1, 1999
    ...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......
  • Outside director liability.
    • United States
    • Stanford Law Review Vol. 58 Nbr. 4, February 2006
    • February 1, 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
    • May 1, 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 artif......
    • United States
    • American Criminal Law Review Nbr. 58-3, July 2021
    • July 1, 2021
    ...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
  • HB 312 – Permits certain intrastate equity crowdfunding
    • United States
    • Ohio Session Laws
    • January 1, 2020
    ...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......

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