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

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Cite as17 CFR 240.10b-5
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8048 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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7616 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......
  • SEC v. Lorin, No. 90 Civ. 7461 (HB).
    • United States
    • United States District Courts. 2nd Circuit. United States District Courts. 2nd Circuit. Southern District of New York
    • November 21, 1994
    ...78i(a)(2), 78j(b), 78o(c)(1)(2), and 78q(a)(1) (1988), and SEC Rules 10b-5, 15c1-2, 15c2-7, 17a-3 and 17a-4 promulgated thereunder, 17 C.F.R. §§ 240.10b-5, 240.15c1-2, 240.15c2-7, 240.17a-3, and 240.17a-4 The SEC seeks a permanent injunction prohibiting the defendants from violating the abo......
  • 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......
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248 firm's commentaries
  • Is Summary Judgment appropriate when a company pleads an "Amway safeguards defense?"
    • United States
    • JD Supra United States
    • March 4, 1996
    ...which operates or would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security." 17 C.F.R. § 240.10b-5(c). Federal antifraud securities laws are to be construed broadly. Herman & MacLean v. Huddleston, 459 U.S. 375, 386-87, 103 S.Ct. 683, 689, ......
  • The Evisceration of the Federal Securities Law
    • United States
    • JD Supra United States
    • February 13, 2014
    ...(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-......
  • Recent Trends in Class Action and Aggregate Litigation in the Life Sciences Industry
    • United States
    • JD Supra United States
    • December 11, 2013
    ...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......
  • Is a scheme a "common enterprise" if the factor linking the fortunes of the parties is at the option of one of the parties?
    • United States
    • JD Supra United States
    • June 30, 1983
    ...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
  • Equitable Limits On Acquisitions And Defensive Maneuvers
    • United States
    • Corporate Counsel Guides: Corporation Law
    • July 3, 2012
    ...(2009). 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) cox85509_23......
  • Federal And State Takeover Laws
    • United States
    • Corporate Counsel Guides: Corporation Law
    • July 3, 2012
    ...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......
  • SECURITIES FRAUD
    • 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).......
  • Let's be frank: the future direction of controlling person liability remains uncertain.
    • United States
    • Suffolk University Law Review Vol. 46 Nbr. 2, March 2013
    • March 22, 2013
    ...which operates or would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security. 17 C.F.R. 240.10b-5 (37.) 762 F.2d 621, 630-31 (8th Cir. 1985) (requiring plaintiff prove defendant actually participated in operations and possessed power to contr......
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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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