 | United States. Securities and Exchange Commission - Securities - 1953 - 824 pages
...was bona fide offered to the public ... by or through an underwriter . . . and except transactions as to securities constituting the whole or a part...participant In the distribution of such securities ... by or through an underwriter. ; and Section 4 (2) which exempts Brokers' transactions, executed upon customers'... | |
 | United States - Law - 1953 - 1692 pages
...order issued under section 77h of this title is in effect as to the security) , and except transactions petition within the United States or otherwise restrains...trade corporation. Nothing contained in section 18 of i77d Page 1657 §77f (2) Brokers' transactions, executed upon customers' orders on any exchange or... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - Securities - 1942 - 264 pages
...which a stop order issued under section 8 is in effect as to such security) and except transactions as to securities constituting the whole or a part...securities by the issuer or by or through an underwriter ; "(4) Transactions on a national securities exchange; "(5) Brokers' transactions, executed upon customers'... | |
 | Administrative law - 1966 - 268 pages
...Provided, In the case of a registration statement on Forms S-12 (17 CFR 239.19) or Fl (17 CFR 239.9), this provision shall not apply if registration of...securities by the issuer or by or through an underwriter. (Sec. 12, 78 Stat. 580; 15 USC 77d) [29 FR 19100, Dec. 30, 1964] REGtTLATION A: GENERAL EXEMPTlONS... | |
 | Administrative law - 1978 - 1252 pages
...after the expiration of the initial prospectus delivery period specified in section 4(3) of the Act following the first bona fide offering of securities...securities by the issuer or by or through an underwriter. (15 USC 77d) [35 PR 18457, Dec. 4, 1970] REGULATION AR: SPECIAL EXEMPTIONS AUTHORITY: Sections 230.234... | |
 | Administrative law - 1988 - 536 pages
...iniSecurities and Exchange Commission tial prospectus delivery period specified in section 4(3) of the Act following the first bona fide offering of securities...securities by the issuer or by or through an underwriter. (15 USC 77d; Secs. 6, 7, 8, 10, 19(a), 48 Stat. 78, 79, 81, 85; secs. 205, 209, 48 Stat. 906, 908;... | |
 | Administrative law - 1978 - 1130 pages
...stop order issued under section 8 of the Act; or Chapter II — Securities and Exchange Commission (2) As the Commission may provide upon application...securities by the issuer or by or through an underwriter. (15U.SC 77d) [35 PR 18457. Dec. 4, 1970] REGULATION AR: SPECIAL EXEMPTIONS AUTHORITY: Sections 230.234... | |
 | Administrative law - 1977 - 958 pages
...subject of a stop order issued under section 8 of the Act; or (2) As the Commission may provide npon application or on its own motion in a particular case....securities by the Issuer or by or through an underwriter. (15 USO 77<J) [85 TR 18467, Dee. 4, 1970] REGULATION AR: SPECIAL EXEMPTIONS АОТНОВГГТ: 5 Î... | |
 | Administrative law - 1971 - 660 pages
...As the Commission may provide upon application or on its own motion in a particular case. § 230.234 (e) Nothing in this section shall affect the obligation...securities by the issuer or by or through an underwriter. (15 USC 77d) [35 PR 18457, Dec. 4, 1970] REGULATION AR: SPECIAL EXEMPTIONS AUTHOBITY: §§230.234 to... | |
 | Administrative law - 1997 - 734 pages
...or (2) As the Commission may provide upon application or on its own motion in a particular case. (f) Nothing in this section shall affect the obligation...securities by the issuer or by or through an underwriter. (g) If the registration statement relates to an offering of securities of a "blank check company,"... | |
| |
Act if the registration statement was the subject of a stop order issued under section 8 of the Act; or (2) As the Commission may provide upon application or on Its own motion in a particular case. (e) Nothing in this section shall affect the obligation... 
