Rule 10b-5
E24308
Rule 10b-5 is a core SEC anti-fraud regulation that prohibits deceptive practices in connection with the purchase or sale of securities.
All labels observed (5)
| Label | Occurrences |
|---|---|
| SEC Rule 10b-5 | 6 |
| Rule 10b-5 canonical | 3 |
| 17 C.F.R. § 240.10b-5 | 1 |
| Rule 10b5-1 | 1 |
| Rule 10b5-2 | 1 |
How this entity was disambiguated
This entity first appeared as the object of triple T193743 — 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: Rule 10b-5 Context triple: [U.S. Securities Exchange Act of 1934, keyProvision, Rule 10b-5]
-
A.
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.
-
B.
Regulation T
Regulation T is a Federal Reserve Board rule that governs the extension of credit by securities brokers and dealers, including margin requirements for purchasing securities.
-
C.
Regulation D
Regulation D is a Federal Reserve Board rule that governs reserve requirements for depository institutions and defines certain types of bank accounts and transaction limits in the U.S. banking system.
-
D.
Regulation D
Regulation D is a set of SEC rules that provides exemptions from the registration requirements for certain private offerings of securities in the United States.
-
E.
Sarbanes–Oxley Act of 2002
The Sarbanes–Oxley Act of 2002 is a U.S. federal law that established sweeping reforms to improve corporate governance, financial reporting, and auditor independence in response to major accounting scandals.
- 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: Rule 10b-5 Target entity description: Rule 10b-5 is a core SEC anti-fraud regulation that prohibits deceptive practices in connection with the purchase or sale of securities.
-
A.
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.
-
B.
Regulation T
Regulation T is a Federal Reserve Board rule that governs the extension of credit by securities brokers and dealers, including margin requirements for purchasing securities.
-
C.
Regulation D
Regulation D is a Federal Reserve Board rule that governs reserve requirements for depository institutions and defines certain types of bank accounts and transaction limits in the U.S. banking system.
-
D.
Regulation D
Regulation D is a set of SEC rules that provides exemptions from the registration requirements for certain private offerings of securities in the United States.
-
E.
Sarbanes–Oxley Act of 2002
The Sarbanes–Oxley Act of 2002 is a U.S. federal law that established sweeping reforms to improve corporate governance, financial reporting, and auditor independence in response to major accounting scandals.
- F. None of above. chosen
Statements (48)
| Predicate | Object |
|---|---|
| instanceOf |
SEC rule
ⓘ
United States securities regulation ⓘ anti-fraud rule ⓘ |
| adoptedOn | 1942 ⓘ |
| appliesTo |
analyst calls
ⓘ
filings with the SEC ⓘ investor presentations ⓘ oral statements ⓘ press releases ⓘ private securities transactions ⓘ publicly traded securities ⓘ purchase of securities ⓘ sale of securities ⓘ written statements ⓘ |
| authority | promulgated by the U.S. Securities and Exchange Commission ⓘ |
| category | anti-manipulation and anti-fraud provisions ⓘ |
| codifiedAt |
17 C.F.R. § 240.10b-5
ⓘ
linked to:
Rule 10b-5
|
| enforcedBy |
U.S. Securities and Exchange Commission
ⓘ
linked to:
Securities and Exchange Commission
|
| goal |
maintain integrity of securities markets
ⓘ
protect investors from securities fraud ⓘ |
| influenced | development of U.S. securities fraud jurisprudence ⓘ |
| interpretedBy |
U.S. federal courts
ⓘ
linked to:
federal judiciary of the United States
|
| jurisdiction |
United States
ⓘ
linked to:
United States of America
|
| legalBasis | Section 10(b) of the Securities Exchange Act of 1934 ⓘ |
| legalStandard |
damages in private actions
ⓘ
in connection with the purchase or sale of a security ⓘ loss causation in private actions ⓘ material misrepresentation or omission ⓘ reliance in private actions ⓘ use of interstate commerce or the mails ⓘ |
| partOf |
Securities Exchange Act of 1934
ⓘ
linked to:
U.S. Securities Exchange Act of 1934
|
| prohibits |
any act, practice, or course of business that operates as a fraud or deceit upon any person
ⓘ
any device, scheme, or artifice to defraud ⓘ fraud in connection with the purchase or sale of securities ⓘ omission of material facts necessary to make statements not misleading ⓘ untrue statements of material fact ⓘ |
| relatedTo |
Rule 10b5-1
ⓘ
linked to:
Rule 10b-5
Rule 10b5-2 ⓘ
linked to:
Rule 10b-5
insider trading enforcement ⓘ |
| requires | scienter for private damages actions ⓘ |
| scope |
broker-dealer misconduct
ⓘ
corporate insider trading ⓘ investment adviser misconduct ⓘ issuer misstatements ⓘ tipping and tippee liability ⓘ |
| textBegins | It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce ⓘ |
| usedIn |
SEC enforcement actions
ⓘ
linked to:
Division of Enforcement of the SEC
private securities fraud litigation ⓘ |
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: Rule 10b-5 Description of subject: Rule 10b-5 is a core SEC anti-fraud regulation that prohibits deceptive practices in connection with the purchase or sale of securities.
Referenced by (12)
Full triples — surface form annotated when it differs from this entity's canonical label.
subject linked to:
’34 Act
linked to: Rule 10b-5
linked to: Rule 10b-5
linked to: Rule 10b-5
linked to: Rule 10b-5
linked to: Rule 10b-5
linked to: Rule 10b-5
linked to: Rule 10b-5
linked to: Rule 10b-5
linked to: Rule 10b-5