Rule 10b-5 of the Securities Exchange Act of 1934 applies to:

Question

Quizplus · Accepted Answer

Rule 10b-5 applies to any transfer of securities, regardless of whether or not it is covered by a registration statement, traded on a national exchange, connected to a merger or consolidation, or subject to a transfer restriction. The rule prohibits fraudulent or deceitful practices in connection with the purchase or sale of a security, including misrepresentations, omissions, and insider trading.

Rule 10b-5 of the Securities Exchange Act of 1934 Applies