SEC Rule 10b-5, codified at 17 CFR 240.10b-5, is one of the most important rules targeting securities fraud in the United States. It was promulgated by...

The SEC stated that, despite the fact that 10b5-1(c) requires trades to be irrevocable, there can be no liability for insider trading under Rule 10b-5 without...

trading law under Section 10(b) of the Securities Exchange Act and SEC Rule 10b-5. In particular, it set out standards for materiality of inside information...

Securities Act of 1933, § 10(b) of the Securities Exchange Act of 1934, and SEC Rule 10b-5). The civil charges were stayed pending the criminal proceeding. Stewart's...

had not violated § 10(b) of the Securities Exchange Act of 1934 and SEC Rule 10b-5. After working in a position that gave petitioner Vincent Chiarella...

period." Fraud on the market theory applies to civil enforcement of SEC Rule 10b-5 which "prohibits any act or omission resulting in fraud or deceit in...

Rule 10b-5 allows people to sue fraudulent individuals directly responsible for an omission of important facts or intentional misstatements. The SEC does...

purchasers. As it developed, section 10(b) of the 1934 Act and corresponding SEC Rule 10b-5 have sweeping antifraud language. Section 10(b) of the Act (as amended)...

Exchange Act (codified at 15 U.S.C. § 78j), as well as pursuant to SEC Rule 10b-5, which the SEC promulgated under the authority granted to it by Congress under...

extradited to the U.S. from Brazil and pleaded guilty to violating SEC Rule 10b-5 in connection with trading his stock in Stan Lee Media. Lee was never...

Investor Relations website […]." Initial public offering Prospectus SEC Rule 10b-5 § Forward-looking statements ^ The Register's interpretation of Judge...

misrepresentations violated § 10(b) of the Securities Exchange Act of 1934 and SEC Rule 10b-5. The United States District Court for the Northern District of Ohio...

a service provider cannot be held liable in a private action under SEC Rule 10b-5. Janus Capital Group v. First Derivative Traders United States Supreme...

more than 10% of a firm's shares. Under Section 10(b) of the 1934 Act, SEC Rule 10b-5, prohibits fraud related to securities trading. The Insider Trading...

stock in January and early February 2021 under a November 13, 2020, SEC Rule 10b-5 trading plan, which allows company executives to comply with insider...

ruled against the SEC on the Rule 10b-5 subsection b ruling, it vacated the penalties levied against Lorenzo by the SEC and sent the case back to the...

Exchange Act and Exchange Act rule 10b-5, 17 C.F.R. 240.10b-5. T The SEC fined Goldman $550 million, the largest fine in the SEC history at the time. $250...

Derivative Traders, 564 U.S. ___ (2011) 5 to 4 decision that related companies were not also liable under SEC Rule 10b-5 Investment Advisers Act of 1940 Investment...

the U.S. after the US Attorney in New York indicted him for violating SEC Rule 10b-5, a securities regulation felony. Paul pleaded guilty. He was sentenced...

that petitioners violated §10(b) of the Securities Exchange Act and SEC Rule 10b-5 by failing to disclose reports that Zicam could cause anosmia, or loss...

Cudahy, found that a stockbroker could sue his former employer under SEC Rule 10b-5 after he quit shortly before the firm's lucrative unannounced merger...

investors are considered buyers or sellers of securities for application of SEC Rule 10b-5. List of United States Supreme Court cases, volume 421 Hawkins, C. (1975)...

Securities Act of 1933, Section 10(b) of the Securities Exchange Act, and SEC Rule 10b-5. Paul pleaded guilty to the securities fraud charge. The government...

liable for violating SEC Rule 10b-5 by making untrue statements, but not liable for the more serious accusation under the same rule, of scheming to defraud...

action in the Dallas federal district court, alleging securities fraud. SEC Rule 10b-5 securities fraud requires a private plaintiff to prove that her economic...

the information would subject them to insider trading liability under Rule 10b-5: (1) "temporary" insiders of an issuer – e.g., outside consultants, such...

decisions and SEC enforcement actions where aiders and abettors, often banks, accountants, trustees, and attorneys, were found liable under Rule 10b-5. The case...

Section 10(b) of the Securities Exchange Act of 1934 and Exchange Act Rule 10b-5 falls under the category when unknown traders purchase equity call options...

Additional liability may be imposed under the Securities Exchange Act of 1934 (Rule 10b-5) against the "maker" of the alleged misrepresentation in certain circumstances...

John Fund, Inc. 573 U.S. ___ (2014) Securities Exchange Act of 1934  • SEC Rule 10b-5  • rebuttable presumption of reliance on material misrepresentation...