 | United States. Securities and Exchange Commission - 1945 - 1290 halaman
...provides: The term "underwriter" means any person who has purchased from an Issuer with a view to, or sells for an issuer in connection with, the distribution...participation in any such undertaking, or participates or h»sa participation In the direct or indirect underwriting of any such undertaking; but such term shall... | |
 | United States. Congress. Senate. Committee on Finance - 1939 - 1104 halaman
...executed. " (4) The term 'underwriter' means any person who has purchased from an issuer with a view to, or sells for an issuer in connection with, the distribution...in the direct or indirect underwriting of any such undertakng; but such term shall not include a person whose interest is limited to a commission from... | |
 | United States. Securities and Exchange Commission - 1941 - 1124 halaman
...in part : The term "underwriter" means any person who has purchased from an Issurr with a view to, or sells for an issuer in connection with, the distribution...or indirect underwriting of any such undertaking. •These persons are Hated as possible underwriters of thte block of snares in the amendments offered... | |
 | United States. Securities and Exchange Commission - 1960 - 996 halaman
...offerees are not shown "to have 'Section 2(11) of the Securities Act defines an "underwriter" in part as "Any person who has purchased from an issuer with...or indirect participation in any such undertaking." 6The second clause of Section 4(1) of the Securities Act provides an exemption from registration for... | |
 | United States. Securities and Exchange Commission - 1940 - 1176 halaman
...in part : The term "underwriter" means any person who has purchased from an Issuer with a view to, or sells for an issuer in connection with, the distribution...participation In any such undertaking, or participates or has participation in the direct or indirect underwriting of any such undertaking; • • • as used In... | |
 | United States. Securities and Exchange Commission - 1956 - 1016 halaman
...Securities Act defines an underwriter as: "any person who has purchased from an issuer with a view to, or sells for an issuer in connection with, the distribution...indirect participation in any such undertaking, or participate!) or has a participation in the direct or indirect underwriting of any such undertaking;... | |
 | United States. Securities and Exchange Commission - 1940 - 1240 halaman
..."underwriter" to include not only — any person who lias purchased from an issuer with a view to, or sells for an issuer In connection with, the distribution...or indirect participation in any such undertaking. but also any person who participates or has a participation in the direct or indirect underwriting... | |
 | United States - 1973 - 400 halaman
...United States. (38) "Underwriter" means any person who has purchased from an issuer with a view to, or sells for an issuer in connection with, the distribution...such term shall not include a person whose interest ia limited to a commission from an underwriter or dealer not in excess of the usual and customary distributor's... | |
 | United States - 1953 - 1692 halaman
...executed. (4) The term "underwriter" means any person who has purchased from an issuer with a view to, G H & y undertakng1; but such term shall not include a person whose interest is limited to a commission from... | |
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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... 
