US-CA11 · jury_instructions
11th Cir. Pattern Jury Instr. (Civil) 6.1
Securities Exchange Act 15 USC § 78j(b) – Rule 10b-5(a) –
17 C.F.R. §§ 240.10b-5(a) – Device, Scheme, or Artifice to Defraud
[Name of plaintiff/The Securities and Exchange Commission, also known as
the SEC,] asserts a claim under the Securities Exchange Act of 1934.
The Securities Exchange Act is a federal statute that allows [the Securities
and Exchange Commission, also known as the SEC,/the SEC] to enact rules and
regulations prohibiting certain conduct in the purchase or sale of securities. Rule
10b-5(a) makes it unlawful for a person to employ any device, scheme, or artifice
to defraud someone else in connection with the purchase or sale of any security.
A “security” is an investment in a commercial, financial, or other business
enterprise with the expectation that profits or other gain will be produced by
others. Some common types of securities are [stocks,] [bonds,] [debentures,]
[warrants,] [and] [investment contracts]. The [describe type of security] in this case
is a security.]
A person who claims that someone violated Rule 10b- 5(a) may bring a civil
action for damages that [he/she/it] suffered as a result of the violation. [The SEC
may also bring a civil action for the violation of Rule 10b-5(a).]
To prove a claim under Rule 10b- 5(a), [name of plaintiff] must prove each
of the following facts by a preponderance of the evidence:
First, you must find that [name of defendant] used an instrumentality of
interstate commerce in connection with the purchase or sale of a security.
2
5.13
Provenance
- Source
- ca11.uscourts.gov
- Retrieved
- 2026-08-20
- Edition
- civil-2025-12
- Content hash
8be78dfc33328b29bdb21861a6b0906e133614e56de6c36599f5fd8fff7e1d66
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