 | United States. Securities and Exchange Commission - Securities - 1945 - 1290 pages
...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. House. Committee on Interstate and Foreign Commerce - 1937 - 580 pages
...unincorporated . (18) 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...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... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - Securities - 1937 - 580 pages
...unincorporated. (18) 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...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... | |
 | United States. Congress. Senate. Committee on Finance - United States - 1939 - 1104 pages
...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 - Securities - 1941 - 1690 pages
...underwriters. An underwriter, as defined in the Act, is one "who has purchased from an issuer with a view to, or sells for an issuer in connection with, the distribution...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... | |
 | United States. Securities and Exchange Commission - Securities - 1941 - 1192 pages
...as follows: 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...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... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 98 pages
...securities. (3) 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...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... | |
 | United States. Securities and Exchange Commission - Securities - 1960 - 996 pages
...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... | |
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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... 
