| United States. Securities and Exchange Commission - 1953 - 1110 pages
...misleading, or "(3) to engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person. in connection with the purchase or sale of any security." Section 15 (e) (1) of the Securities Exchange Act provides: "No broker or dealer... | |
| United States. Securities and Exchange Commission - 1955 - 1022 pages
...misleading, or (3) to engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security." decided to withdraw his investment and dissolve the partnership, to which Hammill... | |
| United States. Securities and Exchange Commission - 1953 - 824 pages
...misleading ; or (3) to engage tn any act, practice, or course of business wblch operates or would operate as a fraud or deceit upon any person, in connection with the purchase or sale of any security. Section 10 (b) and this rule will remain operative with respect to repurchases by... | |
| United States. Securities and Exchange Commission - 1960 - 996 pages
...as defined by Commission rule. Rule 15cl-2 defines such devices or contrivances to include any act, practice or course of business which operates as a fraud or deceit upon any person, and any omission to state a Deeming such action appropriate in the public interest and for the protection... | |
| United States. Securities and Exchange Commission - 1956 - 1016 pages
...misleading, or "(3) to engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person, in connection with the purchase or sate of any security." Rule X-16C1-2 provides in part: " (a) The term 'manipulative, deceptive, or... | |
| 1998 - 348 pages
...any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements made, in light of the circumstances...section 17 of the Securities Act (15 USC 77q) or section 10(b) of the Exchange Act (15 USC 78j) or Rule 10b-5 promulgated thereunder (17 CFB 240.10D-5). (c)... | |
| 2007 - 508 pages
...any untrue statement of a material fact or omit to state a material fact necessary in order to make statements made, in light of the circumstances under...connection with the purchase or sale of any security of a savings association. (b) Violations of this section shall constitute an unsafe or unsound practice... | |
| 1998 - 528 pages
...any untrue statement of a material fact or omit to state a material fact necessary in order to make statements made, in light of the circumstances under...connection with the purchase or sale of any security of a savings association. (b) Violations of this section shall constitute an unsafe or unsound practice... | |
| 1989 - 820 pages
...statements made, in light of the circumstances under which they were made, not misleading, or (c) To engage in any act, practice, or course of business...connection with the purchase or sale of any security of an insured institution. Nothing in this section shall be construed as a limitation on the applicability... | |
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