Securities Exchange Act (15 U.S.C. Sec. 78j(b)) Rule 10b-5(b) (17 C.R. Sec. 240.10b-5(b)) prohibits the misrepresentation or omission of material facts in connection with the purchase or sale of any security. This regulation applies to both buyers and sellers, as well as brokers, dealers, investment advisors, and other professionals who are involved in the buying and selling of securities. The types of material facts that are prohibited from being misrepresented or omitted include the issuer's financial condition, the issuer's plans or prospects, the issuer's past or current performance, and the issuer's ability to pay dividends. In addition, any material facts related to the security itself, such as its value, risk, and liquidity, must be disclosed. This regulation applies to any communication, including written, oral, or electronic, with respect to the purchase or sale of securities. Violations of this regulation can result in civil or criminal penalties.
Securities Exchange Act - 15 U.S.C. Sec. 78j(b) - Rule 10b-5(b) -17 C. R. Sec. 240.10b-5(b) - Misrepresentation orOmission of Material Facts
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