Section 10(b) of the Securities Exchange Act of 1934

E127660

anti-fraud provision provision of United States federal securities law

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.

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All labels observed (1)

Label	Occurrences
Section 10(b) of the Securities Exchange Act of 1934 canonical	6

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.
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	U.S. Department of Justice ⓘ linked to: United States Department of Justice U.S. Securities and Exchange Commission ⓘ linked to: Securities and Exchange Commission
implementedBy	SEC Rule 10b-5 ⓘ linked to: Rule 10b-5
interpretedBy	U.S. Supreme Court ⓘ linked to: Supreme Court of the United States U.S. federal courts of appeals ⓘ linked to: United States courts of appeals
jurisdiction	United States ⓘ linked to: United States of America
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	Securities Exchange Act of 1934 ⓘ linked to: U.S. 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

Referenced by (6)

Full triples — surface form annotated when it differs from this entity's canonical label.

Rule 10b-5 → legalBasis → Section 10(b) of the Securities Exchange Act of 1934 ⓘ

Basic Inc. v. Levinson → statuteInterpreted → Section 10(b) of the Securities Exchange Act of 1934 ⓘ

Ernst & Ernst v. Hochfelder → legalProvisionInterpreted → Section 10(b) of the Securities Exchange Act of 1934 ⓘ

Blue Chip Stamps v. Manor Drug Stores → legalProvisionInterpreted → Section 10(b) of the Securities Exchange Act of 1934 ⓘ

Central Bank of Denver v. First Interstate Bank → statuteInterpreted → Section 10(b) of the Securities Exchange Act of 1934 ⓘ

Stoneridge Investment Partners v. Scientific-Atlanta → statuteInterpreted → Section 10(b) of the Securities Exchange Act of 1934 ⓘ

All labels observed (1)

How this entity was disambiguated Show

Statements (47)

How these facts were elicited Show

Referenced by (6)

How this entity was disambiguated

How these facts were elicited