17 CFR 240.10b-5 - Employment of manipulative and deceptive devices
Cite as: | 17 CFR 240.10b-5 |
Currency: | Current through December 7, 2020 |
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8211 practice notes
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Part III
...for a Section 811 rule. See 73 FR at 48319 & nn.31-32. \15\ See Securities Exchange Act of 1934 (``SEA'') 10(b), 15 U.S.C. 78j(b); 17 CFR 240.10b-5 (``Rule \16\ See Natural Gas Act 4A, 15 U.S.C. 717c-1; Federal Power Act 222, 16 U.S.C. 791a; Prohibition of Natural Gas Market Manipulatio......
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Electric utilities (Federal Power Act):
Energy market manipulation; prohibition,
...that sections 1c.1(b) and 1c.2(b) were not intended to take away any other right that may otherwise exist. \5\ NOPR at 70 FR 61931. \6\ 17 CFR 240.10b-5 \7\ NOPR at 70 FR 61931. As explained in P 5, supra, the regulations proposed to be placed in new sections 159.1 and 47.1 will be new sect......
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Covered Investment Fund Research Reports
...Exchange Act rule 10b-5, which requires proof of scienter in the representations made. See 15 U.S.C. 77l(a)(2); see also rule 10b-5 17 CFR 240.10b-5. \250\ Research reports that are published or distributed as rule 34b-1 supplemental sales literature also would be subject to requirements re......
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United States Sentencing Commission,
...in Sec. 2B1.1 (Theft, Property Destruction, and Fraud) corresponding to that amount. Commentary Statutory Provisions: 15 U.S.C. 78j and 17 CFR 240.10b-5. For additional statutory provisions(s), see Appendix A (Statutory Application Note Application of Subsection of Sec. 3B1.3.--(Section 3B1......
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7787 cases
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1 F.Supp.2d 337 (S.D.N.Y. 1998), 98 CIV. 1818, S.E.C. v. Cavanagh
...of business that operates as a fraud or deceit Page 376 upon any person, in connection with the purchase or sale of any security. 17 C.F.R. § 240.10b-5.67 Scienter is a necessary element of a Section 10(b) or Rule 10b-5 violation. Aaron v. SEC, 446 U.S. at 691. The SEC has advanced three se......
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100 F.Supp.2d 417 (N.D.Tex. 2000), Civ. A. 398-CV-0452, Coates v. Heartland Wireless Communications, Inc.
...Act of 1934 (the "Exchange Act"), 15 U.S.C. § 78j(b), and Securities and Exchange Commission ("SEC") Rule 10b-5, 17 C.F.R. § 240.10b-5, promulgated thereunder. They allege that all the individual defendants except Lane are also liable under § 20(a) of the Exchange Act, 1......
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102 F.Supp.2d 1280 (N.D.Ala. 2000), CV99-BU-3097, Burke v. Ruttenberg
...Act"), 15 U.S.C. § 78j(b) and Rule 10b-5 promulgated thereunder by the Securities and Exchange Commission ("SEC"), 17 C.F.R. § 240.10b-5; claims of aiding and abetting violation of the Exchange Act in contravention of section 20 of the Exchange Act, 15 U.S.C. § 78t; and claim......
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122 F.Supp.2d 407 (S.D.N.Y. 2000), 99 CIV. 10488, Gabriel Capital, L.P. v. NatWest Finance, Inc.
...of the Securities and Exchange Act of 1934 (the "1934 Act"), 15 U.S.C. § 78j(b), and Rule 10b-5 promulgated thereunder, 17 C.F.R. § 240.10b-5, by making or participating in the making of untrue statements and by omitting material facts in order to induce plaintiffs to purchase the......
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236 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 com......
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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 com......
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The Evisceration of the Federal Securities Law
...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.......
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Does the short maturity time of the "Advertising Pool" program exempt its notes from registration requirements under Federal securities laws?
...§ 77e; (2) securities fraud in violation of 15 U.S.C. § 77(q)(a); and (3) securities fraud in violation of 15 U.S.C. § 77(j)(b) and 17 C.F.R. 240.10b-5. Plaintiff seeks a permanent injunction against future violations and seeks restitution and disgorgement of funds from defendants. Plaintif......
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37 books & journal articles
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Cause for Concern: Causation and Federal Securities Fraud
...[9] Securities Exchange Act of 1934, ch. 404, § 10(b), 48 Stat. 881, 891 (codified as amended at 15 u.S.C. § 78j(b) (2000)). [10] 17 C.F.R. § 240.10b-5 (2008). [11] See supra note 8 and accompanying text. [12] See supra note 6. [13] Dura Pharms., Inc. v. Broudo, 544 U.S. 336 (2005). [14] St......
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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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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 ......
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146 provisions
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Part III
...for a Section 811 rule. See 73 FR at 48319 & nn.31-32. \15\ See Securities Exchange Act of 1934 (``SEA'') 10(b), 15 U.S.C. 78j(b); 17 CFR 240.10b-5 (``Rule \16\ See Natural Gas Act 4A, 15 U.S.C. 717c-1; Federal Power Act 222, 16 U.S.C. 791a; Prohibition of Natural Gas Market Manipulatio......
-
Electric utilities (Federal Power Act):
Energy market manipulation; prohibition,
...that sections 1c.1(b) and 1c.2(b) were not intended to take away any other right that may otherwise exist. \5\ NOPR at 70 FR 61931. \6\ 17 CFR 240.10b-5 \7\ NOPR at 70 FR 61931. As explained in P 5, supra, the regulations proposed to be placed in new sections 159.1 and 47.1 will be new sect......
-
Covered Investment Fund Research Reports
...Exchange Act rule 10b-5, which requires proof of scienter in the representations made. See 15 U.S.C. 77l(a)(2); see also rule 10b-5 17 CFR 240.10b-5. \250\ Research reports that are published or distributed as rule 34b-1 supplemental sales literature also would be subject to requirements re......
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United States Sentencing Commission,
...in Sec. 2B1.1 (Theft, Property Destruction, and Fraud) corresponding to that amount. Commentary Statutory Provisions: 15 U.S.C. 78j and 17 CFR 240.10b-5. For additional statutory provisions(s), see Appendix A (Statutory Application Note Application of Subsection of Sec. 3B1.3.--(Section 3B1......
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