Paralegal Exam Prep

Category - Legal Envrmt

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Which of the following is NOT an essential element of a Rule 10b-5 offense?

Insider trading
Materiality
Connection to the purchase or sale of securities
Knowledge of wrongdoing
Manipulation or deception

Explanation

Answer: A. Insider trading is not an essential element of a Rule 10b-5 offense. SEC Rule 10b-5 prohibits any act or omission resulting in fraud or deceit in connection with the purchase or sale of any security. A 10b-5 offense requires intent.

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