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Keywords: SEC Rule 10b-5
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Journal Articles
Lorenzo v. SEC: the supreme court rules on scheme liability under the federal securities laws
Available to Purchase
Journal:
Journal of Investment Compliance
Journal of Investment Compliance (2019) 20 (2): 45–47.
Published: 19 June 2019
... had violated SEC Rule 10b-5, Section 10(b) of the Exchange Act, and Section 17(a)(1) of the Securities Act. When the SEC found him liable as both a “maker” of misleading statements under Rule 10b-5(b) and for employing a deceptive “device,” an “artifice to defraud,” and/or a deceptive “act” under Rule...
