 underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or...  Decisions and Reports - 592. lappuseautors: United States. Securities and Exchange Commission - 1940Pilnskats - Par šo grāmatu
 | United States. Securities and Exchange Commission - 1960 - 996 lapas
...than an Issuer, underwriter or dealer. Section 2(11) of that Act defines an "underwriter" in part as any person who has purchased from an Issuer with a view to the distribution of any security, and "Issuer" is defined to include any person directly or indirectly... | |
 | United States. Securities and Exchange Commission - 1953 - 824 lapas
...1. WAS RESPONDENT AN "UNDEBWBITEB"? Section 2 (11) defines an "underwriter" as any person who . . . sells for an Issuer in connection with, the distribution of any security ... As used in this paragraph the term "issuer" shall Include . . . any person . . . controlling .... | |
 | United States. Securities and Exchange Commission - 1953 - 828 lapas
...Exchange Act. The Federal Corporation, 25 SEC 227 (1947). "Section 2 (11) provides In pertinent part: "Tbe term 'underwriter' means any person who has purchased from an issuer with • view to, or sells for an Issuer In connection with, the distribution of any security, or participates... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1940 - 164 lapas
...Philippine Islands, the Canal Zone, the Virgin Islands, or any other possession of the United States. (20) "Underwriter" means any person who has purchased from...connection with, the distribution of any security, «r participates or has a direct or indirect participation in any such undertaking, or participates... | |
 | United States - 2000 - 1216 lapas
...original. Page 361 Page 362 to such terms and conditions as may be prescribed therein, may permit. (11) The term "underwriter" means any person who has purchased from an Issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates... | |
 | United States. Securities and Exchange Commission - 1944 - 1290 lapas
...course, be underwriters, since they will * Section 2 (11) defines the term "underwriter" to Include "any person who has purchased from an Issuer with...connection with, the distribution of any security." Rule 4E5 defines "principal underwriter" to include "an underwriter in privity of contract with the... | |
 | 2000 - 520 lapas
...Corporation. (14) Underwriter means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not... | |
 | 1989 - 700 lapas
...subchapter. (14) "Underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not... | |
 | 1999 - 524 lapas
...include an account insured, in whole or in part, by the Federal Deposit Insurance Corporation. (14) Underwriter means any person who has purchased from an issuer with a view to, or offers or sells for an issuer In connection with, the distribution of any security, or participates... | |
 | 1989 - 820 lapas
...Corporation. Nothing in this part shall affect the applicability of § 563.3-10 of this subchapter. (14) "Underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates... | |
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