Employment of manipulative and deceptive devices
| Currency | Current through May 31, 2023 |
| Citation | 17 C.F.R. §240.10b-5 |
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279 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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94 firm's commentaries
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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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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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U.S. and UK Enforcement Priority: Spoofing - 2020 Highlights and What to Expect in 2021
...Treasury FuturesClass Period: Jan. 1, 2009 – PresentCauses of Action: Employment of Manipulative Device – 15 U.S.C. § 78j(b); 17 C.F.R. § 240.10b-5 Control Person Liability – 15 U.S.C. § 78t(a)Related Actions: United States v. Edmonds, No. 18-cr-239 (D. Conn. Oct. 9, 2018) United States v. ......
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54 books & journal articles
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Securities Fraud
...concerning public offerings of securities in commerce”). 4. United Hous. Found., Inc. v. Forman, 421 U.S. 837, 849 (1975). 5. 17 C.F.R. § 240.10b-5 (2024). 1030 AMERICAN CRIMINAL LAW REVIEW [Vol. 62:1029 (“SEC”) under § 10(b) of the 1934 Act,6 the violation of which is criminalized by § 32(......
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Securities fraud
...facili- ties of any national securities exchange,14 made (2) a misstatement or omission15 5. 15 U.S.C. § 78ff(a) (“Penalties”). 6. 17 C.F.R. § 240.10b-5 (2023). 7. 15 U.S.C. § 8. Id. § 78ff(a). 9. The term “blue sky” refers to the practice of land salesmen who operated so fraudulently that ......
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Corporate Combinations
...1985) (interpreting Weinberger as allowing for remedies other than appraisal when specii c acts of unfairness are alleged). 5. 17 C.F.R. § 240.10b-5 (2009). 6. 15 U.S.C. §§ 77(f), 77(g) (2009). 7. Id. §§ 78m(d), 78m(e), 78n(d), 78n(f). cox85509_22_c22_p499-536.indd 528 cox85509_22_c22_p499-......
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Equitable Limits On Acquisitions And Defensive Maneuvers
...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) (2009). cox85509_23......
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