 | United States. Securities and Exchange Commission - 1945 - 1290 halaman
...participates or has a direct or indirect participation in any such undertaking, or participates or h»sa participation In the direct or indirect underwriting...such term shall not Include a person whose Interest IB limited to a commission from an underwriter or dealer not In excess of the usual and customary distributors'... | |
 | United States - 1968 - 374 halaman
...or sells for an issuer in connection withj the distribution of any security, or participates or has a direct or indirect participation in any such undertaking,...a commission from an underwriter or dealer not in excesa of the usual and customary distributor's or seller's commission. As used in this paragraph the... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1937 - 580 halaman
...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,...and customary distributors' or sellers' commission. The Commission may, by rule or regulation or order, declare any such person or any class of such persons... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1937 - 580 halaman
...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,...and customary distributors' or sellers' commission. The Commission may, by rule or regulation or order, declare any such person or any class of such persons... | |
 | United States. Congress. Senate. Committee on Finance - 1939 - 1104 halaman
...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,...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 - 1690 halaman
...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,...and customary distributors' or sellers' commission." The term "underwriter," it may be noted, is broadly defined. It includes one who purchases an issue... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 98 halaman
...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,...and customary distributors' or sellers' commission. (4) The term "director" means any director of a corporation, or any individual performing similar functions... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 106 halaman
...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,...and customary distributors' or sellers' commission. (4) The term "director" means any director of a corporation, or any individual performing similar functions... | |
 | United States. Securities and Exchange Commission - 1953 - 828 halaman
...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,...excess of the usual and customary distributors' or Kllen' commlBslon . . ." 11 Rule 455 provides in pertinent part : "The term 'principal underwriter'... | |
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Underwriter" means any person who has purchased from an issuer with a view to, 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 participates... 
