 | United States. Securities and Exchange Commission - 1957 - 1194 lapas
...Company Act. The issue posed is whether the so-called "no-sale theory," applied in the interpretation of the registration provisions of Section 5 of the Securities Act of 1933, is applicable to Section 17 (a) of the Investment Company Act of 1940. According to this theory, as... | |
 | 2003 - 634 lapas
...the assets listed below, that there are no restrictions on the resale of these securities pursuant to the registration provisions of Section 5 of the Securities Act of 1933. I recognize that statements contained herein concern a matter within the jurisdiction of an agency... | |
 | United States. Congress. House. Committee on the Judiciary - 1961 - 294 lapas
...letter of May 11, all mergers and acquisitions which involve the issuance of securities are subject to the registration provisions of section 5 of the Securities Act of 1933 unless an exemption therefrom is available. Thus, a corporate acquisition or combination effected by... | |
 | United States. Securities and Exchange Commission - 1967 - 112 lapas
...Act: ". . . The issue posed is whether the socalled 'no-sale theory,' applied in the interpretation of the registration provisions of Section 5 of the Securities Act of 1933, is applicable to Section 17 (a) of the Investment Company Act of 1940. According to this theory ...... | |
 | United States. Congress. House. Committee on Banking and Currency - 1970 - 396 lapas
...107. of the equity securities of IOS and a director and indirect beneficial owner of more than 107. of the equity securities of ICS); Edward M. Cowett...companies registered under the Investment Company Act of 1940) and unregistered participations in the IOS Investment Program which Is a program sponsored... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1970 - 378 lapas
...secretary and director of ICS) ; Allen R. Cantor (senior vice-president of IOS) ; W. Thad Lovett (excutive vice-president of IOS) ; Robert Nagler (a director...companies registered under the Investment Company Act of 1940) and unregistered participations in the IOS Investment Program which is a program sponsored... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1970 - 1242 lapas
...vice-president of IOS) ; Robert Nagler (a director of IOS) ; nnd Hyman Feld (president and a director of IOS and an assistant secretary of IOS). The Order for...companies registered under the Investment Company Act of 1940) and unregistered participations in the IOS Investment Program which is a program sponsored... | |
 | United States - 1981 - 548 lapas
...governmental plans in connection with which interests, participations, or securities are exempted from the registration provisions of section 5 of the Securities Act of 1933 by Ante, p. 2294. section 3(a)(2XC) of such Act, and (C) advances made by an insurance company in connection... | |
 | 2005 - 628 lapas
...the assets listed below, that there are no restrictions on the resale of these securities pursuant to the registration provisions of Section 5 of the Securities Act of 1933. I recognize that statements contained herein concern a matter within the jurisdiction of an agency... | |
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Code,2 (B) contributions under governmental plans in connection with which interests, participations, or securities are exempted from the registration provisions of section 5 of the Securities Act of 1933 by... 
