Which of the following is enough to prove a violation of Section 10(b) and Rule 10b-5?

Question

Quizplus · Accepted Answer

In order to prove a violation of Section 10(b) and Rule 10b-5, scienter must be present, meaning the defendant had an intent to deceive or manipulate. Nonexemption status, aiding and abetting, and negligent conduct may be relevant to the case, but alone they are not enough to establish a violation of Section 10(b) and Rule 10b-5.

Which of the Following Is Enough to Prove a Violation