Search Images Maps Play YouTube News Gmail Drive More »
Sign in
Books Books
" SECTION 5 (a) Unless a registration statement is in effect as to a security, it shall be unlawful for any person, directly or indirectly (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails... "
Trust Indentures: Hearings Before a Subcommittee of the Committee on ... - Page 2
by United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 92 pages
Full view - About this book

Decisions and Reports, Volume 11

United States. Securities and Exchange Commission - Securities - 1945
...carried throneh the malls or In Interstate commerce, by any menus or Instruments of trans[K>rtation, any such security for the purpose of sale or for delivery after sale. It Is undisputed that In the sale of these securities the respondent used the malli or other meana...
Full view - About this book

Official Congressional Directory

United States. Congress - Directories, Governmental - 1932
...requirements of section 10. (2) To carry or cause to be carried in interstate commerce or through the mails any such security for the purpose of sale or for delivery after sale, unless accompanied or preceded by a prospectus that meets the requirements of section 10. Special powers...
Full view - About this book

Laws Relating to Securities Commission, Exchanges and Holding Companies

United States - Corporation law - 1968
...THE MAII« "SEC. 5. (a) Unless a registration statement is in effect as to a security, it shall be unlawful for any person, directly or indirectly —...for the purpose of sale or for delivery after sale, t "(b) It shall be unlawful for any person, directly/or indirectly — "(1) to make use of any means...
Full view - About this book

Regulation of Sale of Securities: Hearing[s] Before a Subcommittee of the ...

United States. Congress. Senate. Committee on Banking and Currency, United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Securities and Exchange - Securities - 1937 - 214 pages
...would impose an undue burden on the issuer, having due regard to the public interest and the interests of investors. PROHIBITIONS RELATING TO INTERSTATE...Notwithstanding the provisions of the Securities Act of 1933, on and after January 3, 1938, no registration statement relating to a security which is subject to...
Full view - About this book

Legislative Calendar, Volume 53, Part 2

United States. Congress. Senate. Committee on Finance - United States - 1939
...delivery after sale. "(2) to carry or to cause to be carried through the mails or in interstate commerce any such security for the purpose of sale or for delivery after sale, unless accompanied or preceded by a written statement that meets the requirements of subsection (c)...
Full view - About this book

Decisions and Reports, Volume 20

United States. Securities and Exchange Commission - Securities - 1952
...instruments of transportation or communication in interstate commerce or of the malls to sell or offer to buy such security through the use or medium of any prospectus...for the purpose of sale or for delivery after sale. 'Henry Friedlander, 2 SEC 631 (1937) ; Guaranty Underwriters, Inc., 14 SEC 271 I»«). fully violated...
Full view - About this book

Decisions and Reports, Volume 27

United States. Securities and Exchange Commission - Securities - 1953
...communication in interstate commerce or of the mails to sell or offer to buy such security through the us* or medium of any prospectus or otherwise: or "(2)...for the purpose of sale or for delivery after sale." Sections 3 and 4 provide for exemptions from Section 5 for certain types of securities and transactions....
Full view - About this book

Decisions and Reports, Volume 25

United States. Securities and Exchange Commission - Securities - 1953
...or medium of any prospectus or otherwise ; or "(2) to carry or cause to be carried through the malls or In Interstate commerce, by any means or instruments...for the purpose of sale or for delivery after sale." Section 4(1) provides that the provisions of Section 5 shall not apply to "transactions by •oj- person...
Full view - About this book

Decisions and Reports, Volume 23

United States. Securities and Exchange Commission - Securities - 1953
...or medium of any prospectus or otherwise ; or (2) to carry or cause to be carried through the malls or In Interstate commerce, by any means or Instruments...for the purpose of sale or for delivery after sale. shares or 9 percent; Schulte owned 54,510 shares or 22 percent directly ; the 1924 Corporation, controlled...
Full view - About this book

Decisions and Reports

United States. Securities and Exchange Commission - Securities - 1941
...or medium of any prospectus or otherwise ; or (2) to carry or cause to be carried through tho malls or In Interstate commerce, by any means or Instruments...for the purpose of sale or for delivery after sale. • Section 17 (a) (2) provides: It shall be unlawful for any person in the sale of any securities...
Full view - About this book




  1. My library
  2. Help
  3. Advanced Book Search
  4. Download EPUB
  5. Download PDF