US-CA11 · jury_instructions
11th Cir. Pattern Jury Instr. (Civil) 6.4
Securities Exchange Act – 15 USC § 78j(b) – Rule 10b-5(c) –
17 C.F.R. § 240.10b-5(c) – Fraudulent Practice or Course of Dealing
[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(c) makes it unlawful for a person to engage in any practice or course of
dealing that would operate as a fraud 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(c) may bring a civil
action for damages [he/she/it] suffered as a result of the violation. [The SEC may
bring a civil action because of the Rule 10b-5(c) violation claimed.]
To prove a claim under Rule 10b- 5(c), [name of plaintiff/the SEC] must
prove each of the following facts by a preponderance of the evidence:
2
5.13
Provenance
- Source
- ca11.uscourts.gov
- Retrieved
- 2026-08-20
- Edition
- civil-2025-12
- Content hash
75365d2b4b0187f633567bea4a1f079f29e86ad47f1b7535762e26e429e6f562
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