Section 10(b) of the Securities Exchange Act of 1934
E127660
Section 10(b) of the Securities Exchange Act of 1934 is a key U.S. federal securities law provision that broadly prohibits manipulative and deceptive practices in connection with the purchase or sale of securities.
All labels observed (1)
| Label | Occurrences |
|---|---|
| Section 10(b) of the Securities Exchange Act of 1934 canonical | 1 |
How this entity was disambiguated
This entity first appeared as the object of triple T1097807 — resolving that mention is where its identity was fixed. The disambiguator weighed these candidate entities and picked the highlighted one (or “None”, minting a new entity). This is how homonymy is resolved: the same surface form can point to different entities.
NED1
Entity disambiguation (via context triple)
gpt-5-mini-2025-08-07
Target entity: Section 10(b) of the Securities Exchange Act of 1934 Context triple: [Rule 10b-5, legalBasis, Section 10(b) of the Securities Exchange Act of 1934]
-
A.
Rule 10b-5
Rule 10b-5 is a core SEC anti-fraud regulation that prohibits deceptive practices in connection with the purchase or sale of securities.
-
B.
U.S. Securities Exchange Act of 1934
The U.S. Securities Exchange Act of 1934 is a landmark federal law that created the Securities and Exchange Commission (SEC) and established comprehensive regulation of secondary trading of securities in the United States to restore investor confidence and prevent market abuses.
-
C.
Regulation U
Regulation U is a U.S. Federal Reserve regulation that governs the amount of credit banks and other lenders may extend for the purpose of buying or carrying margin stock, helping to control the use of leverage in securities markets.
-
D.
U.S. Securities Act of 1933
The U.S. Securities Act of 1933 is a landmark federal law that established strict disclosure requirements for securities offerings to protect investors and restore confidence in financial markets after widespread abuses revealed by the stock market crash and ensuing economic crisis.
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E.
Securities Act Amendments of 1964
The Securities Act Amendments of 1964 were U.S. federal legislative changes that expanded and strengthened federal securities regulation, particularly by extending disclosure and reporting requirements for publicly traded companies.
- F. None of above. chosen
- G. Unsure - the case is ambiguous/there is not enough information to decide.
NED2
Entity disambiguation (via description)
gpt-5-mini-2025-08-07
Target entity: Section 10(b) of the Securities Exchange Act of 1934 Target entity description: Section 10(b) of the Securities Exchange Act of 1934 is a key U.S. federal securities law provision that broadly prohibits manipulative and deceptive practices in connection with the purchase or sale of securities.
-
A.
Rule 10b-5
Rule 10b-5 is a core SEC anti-fraud regulation that prohibits deceptive practices in connection with the purchase or sale of securities.
-
B.
U.S. Securities Exchange Act of 1934
The U.S. Securities Exchange Act of 1934 is a landmark federal law that created the Securities and Exchange Commission (SEC) and established comprehensive regulation of secondary trading of securities in the United States to restore investor confidence and prevent market abuses.
-
C.
Regulation U
Regulation U is a U.S. Federal Reserve regulation that governs the amount of credit banks and other lenders may extend for the purpose of buying or carrying margin stock, helping to control the use of leverage in securities markets.
-
D.
U.S. Securities Act of 1933
The U.S. Securities Act of 1933 is a landmark federal law that established strict disclosure requirements for securities offerings to protect investors and restore confidence in financial markets after widespread abuses revealed by the stock market crash and ensuing economic crisis.
-
E.
Securities Act Amendments of 1964
The Securities Act Amendments of 1964 were U.S. federal legislative changes that expanded and strengthened federal securities regulation, particularly by extending disclosure and reporting requirements for publicly traded companies.
- F. None of above. chosen
Statements (47)
| Predicate | Object |
|---|---|
| instanceOf |
anti-fraud provision
ⓘ
provision of United States federal securities law ⓘ |
| appliesTo |
broker-dealers
ⓘ
corporate insiders ⓘ investment advisers ⓘ issuers of securities ⓘ over-the-counter securities ⓘ purchase of securities ⓘ sale of securities ⓘ securities listed on national securities exchanges ⓘ tippees in insider trading cases ⓘ |
| codifiedAt | 15 U.S.C. § 78j(b) ⓘ |
| enforcedBy |
United States Department of Justice
ⓘ
surface form:
U.S. Department of Justice
Securities and Exchange Commission ⓘ
surface form:
U.S. Securities and Exchange Commission
|
| implementedBy |
Rule 10b-5
ⓘ
surface form:
SEC Rule 10b-5
|
| interpretedBy |
Supreme Court of the United States
ⓘ
surface form:
U.S. Supreme Court
United States courts of appeals ⓘ
surface form:
U.S. federal courts of appeals
|
| jurisdiction |
United States of America
ⓘ
surface form:
United States
|
| legalStandard |
loss causation required in private actions
ⓘ
materiality of misstatement or omission required ⓘ reliance required in private actions ⓘ scienter required for private damages actions ⓘ transaction must be in connection with the purchase or sale of a security ⓘ |
| partOf |
U.S. Securities Exchange Act of 1934
ⓘ
surface form:
Securities Exchange Act of 1934
|
| policyGoal |
maintain fair and efficient securities markets
ⓘ
promote integrity of securities transactions ⓘ protect investors from fraud ⓘ |
| prohibits |
deceptive practices in connection with the purchase or sale of securities
ⓘ
manipulative practices in connection with the purchase or sale of securities ⓘ use of any manipulative or deceptive device or contrivance ⓘ |
| relatedCaseLaw |
Basic Inc. v. Levinson
ⓘ
Blue Chip Stamps v. Manor Drug Stores ⓘ Central Bank of Denver v. First Interstate Bank ⓘ Ernst & Ernst v. Hochfelder ⓘ SEC v. Texas Gulf Sulphur Co. ⓘ Stoneridge Investment Partners v. Scientific-Atlanta ⓘ |
| relatedDoctrine | fraud-on-the-market theory ⓘ |
| relatedTo |
disclosure obligations of public companies
ⓘ
insider trading liability ⓘ market manipulation cases ⓘ misstatements and omissions in connection with securities transactions ⓘ |
| requires | use of interstate commerce or the mails or a national securities exchange facility ⓘ |
| scope |
applies to both domestic and certain extraterritorial conduct subject to Morrison limitations
ⓘ
covers both primary and secondary securities markets ⓘ |
| usedFor |
SEC enforcement actions for securities fraud
ⓘ
private securities fraud class actions ⓘ |
| yearEnacted | 1934 ⓘ |
How these facts were elicited
The pipeline generated the facts above by prompting gpt-5.1 with this entity's name + description and the instruction below.
Instruction
You are a knowledge base construction expert. Given a subject entity and a description of it, return factual statements that you know for the subject as a JSON list of dictionaries(triples), where keys must be "subject", "predicate" and "object". The number of facts may be very high, between 25 to 50 or more, for very popular subjects. For less popular subjects, the number of facts can be very low, like 5 or 10. # Requirements - If you don't know the subject at all, return an empty list. - If the subject is not a named entity, return an empty list. - Include at least one triple where predicate is "instanceOf". - Do not get too wordy. - Separate several objects into multiple triples with one object.
Input
Subject: Section 10(b) of the Securities Exchange Act of 1934 Description of subject: Section 10(b) of the Securities Exchange Act of 1934 is a key U.S. federal securities law provision that broadly prohibits manipulative and deceptive practices in connection with the purchase or sale of securities.
Referenced by (1)
Full triples — surface form annotated when it differs from this entity's canonical label.