 | United States. Congress. Senate. Committee on Banking and Currency - 1933 - 1262 halaman
...the Commission deems it necessary or desirable, of consolidated balance sheets or income accounts of any person directly or indirectly controlling or controlled...direct or indirect common control with the issuer. Mr. REDMOND. That, as I see it. deprives management of the right to determine Mr. CORCORAN. But that... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1934 - 1008 halaman
...deems it necessary or desirable, of consolidated balance sheets or income accounts of any ]>ers<>ri directly or indirectly controlling or controlled by...direct or indirect common control -with the issuer. Mr. CORCORAN. But that again conies down to uniform accounting methods, which we have just discussed,... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 984 halaman
...issuer for the public distribution of such securities of such issuer. As used in this paragraph (m) the term "issuer" shall include, in addition to an...direct or indirect common control with the issuer. (n) The term "selling syndicate" shall mean any syndicate formed in connection with a public offering,... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 1106 halaman
...is or is to be received directly or indirectly by the issuer thereof. As used in this paragraph (t) the term "issuer" shall include, in addition to an...direct or indirect common control with the issuer. (j) The term "new security" shall mean any security included in a new issue of securities. (K) The... | |
 | United States. Congress. Senate. Interstate and Foreign Commerce Committee - 1934 - 972 halaman
...the Commission deems it necessary or desirable, of consolidated balance sheets or income accounts of any person directly or indirectly controlling or controlled...direct or indirect common control with the issuer; but insofar as they relate to any common carrier subject to the provisions of section 20 of the Interstate... | |
 | United States - 1968 - 374 halaman
...include a person whose interest is limited to a commission from an underwriter or dealer not in excesa of the usual and customary distributor's or seller's...completed such person shall cease to be an underwriter in respect of such securities or the issuer thereof. (39) "Value", with respect to assets of registered... | |
 | United States. Securities and Exchange Commission - 1940 - 1240 halaman
...commission from an underwriter or dealer not In excess of the iiMinl and customary distributors' or sellers' commission. As used In this paragraph the term "Issuer"...direct or indirect common control with the Issuer. & Son received a further $1,700 for the preparation of a report upon the organization and prospectus... | |
 | United States. Securities and Exchange Commission - 1941 - 1192 halaman
...commission from an underwriter or dealer not in excess of the usual and customary distributors' or sellers' commission. As used in this paragraph the term "issuer"...direct or indirect common control with the issuer. It is apparent that Hoover is a "person directly or indirectly controlling * * * the issuer * * *"... | |
 | United States. Securities and Exchange Commission - 1955 - 920 halaman
...purchased from an issuer with a view to ... the distribution of any security" and provides further that "As used in this paragraph the term 'issuer' shall...indirectly controlling or controlled by the issuer . . ." The purpose of the last quoted provision of Section 2 (11) is to include persons controlling... | |
 | United States. Securities and Exchange Commission - 1938 - 128 halaman
...the term "issuer" shall include, in addition to an "issuer" within the meaning of section 3 (a) (8), any person directly or indirectly controlling or controlled...direct or indirect common control with the issuer. As used in this rule, the term "issue" shall include, in addition to an issue of securities issued... | |
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... such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess... 
