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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... "
Code of Federal Regulations: Containing a Codification of Documents of ... - Page 470
1997
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Decisions and Reports, Volume 11

United States. Securities and Exchange Commission - Securities - 1945
...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 hsa participation In the direct or indirect underwriting of any such undertaking; but such term shall...
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To Amend the Securities Act of 1933. Solicitation of Proxies, Etc., in ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1937 - 562 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...
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To Amend the Securities Act of 1933: Solicitation of Proxies, Etc., in ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - Securities - 1937 - 562 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...
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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
...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...
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Legislative Calendar, Volume 53, Part 2

United States. Congress. Senate. Committee on Finance - United States - 1939
...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...
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Decisions and Reports

United States. Securities and Exchange Commission - Securities - 1941
...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...
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Trust Indentures: Hearings Before a Subcommittee of the Committee on ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - Interstate commerce - 1938 - 92 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...
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Decisions and Reports, Volume 7

United States. Securities and Exchange Commission - Securities - 1941
...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...
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Trust Indentures. Hearings Before a Subcommittee ... on H.R. 10292 ... April ...

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 92 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...
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Decisions and Reports, Volume 38

United States. Securities and Exchange Commission - Securities - 1960
...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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