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The 1st Circuit recently issued an en banc opinion that rejected the U.S. Securities and Exchange Commission's reliance on prospectus language in bringing a Rule 10(b)(5) case against broker-dealer executives. The decision overturned an earlier panel ruling upholding the SEC's use of the rule, which bars untrue statements in connection with the purchase or sale of a security. The opinion in SEC v. Tambone , on an issue of first impression, rejected "the SEC's expansive interpretation" of the rule.
March 16, 2010 at 12:00 AM
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The original version of this story was published on Law.Com
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