 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...  Decisions and Reports - Page 1009by United States. Securities and Exchange Commission - 1941Full view - About this book
 | United States. Securities and Exchange Commission - Securities - 1945 - 1290 pages
...the Securities Act provides: The term "underwriter" means any person who has purchased from an Issuer with a view to, or sells for an issuer in connection...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 - Securities - 1937 - 580 pages
...incorporated or 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...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 - 1937 - 580 pages
...incorporated or 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...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. Banking and Currency Committee - 1937 - 244 pages
...security or 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...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
...orders will be 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...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 - 1192 pages
...Securities Act reads 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...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
...security or 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...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
...an "underwriter" In part as "Any person who baa purchased from an Issuer with a view to, or offers or sells for an Issuer In connection with, the distribution...or Indirect participation In any such undertaking." 10 See .Robert Dei-mot French, 86 SEC 603 (1966) ; Thompion Rott Beovritiet Co., 6 8.BC 1111 (1940).... | |
 | United States. Securities and Exchange Commission - Securities - 1953 - 828 pages
..."underwriter" is defined in Section 2 (11) of the Act as "any person who has purchased from an issuer with a view to, or sells for an issuer in connection with, the distribution of any security, ..." It is clear that Marks and his associates contemplated that such stock would be sold publicly.... | |
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