 No officer, director, or employee of any corporation or unincorporated association, no partner or employee of any partnership, and no individual, primarily engaged in the issue, flotation, underwriting, public sale, or distribution, at wholesale or retail,...  The Code of Federal Regulations of the United States of America - Page 711967Full view - About this book
 | United States. Congress. Senate. Committee on Banking and Currency - 1932 - 576 pages
...is not participating in the management or direction of, any affiliate formed for the purpose of, or engaged in, the Issue, flotation, underwriting, public...through syndicate participation of stocks, bonds, debentures, notes, or other securities of any sort, and that during the period that the permit remains... | |
 | United States. Office of the Comptroller of the Currency - Banks and banking - 1934 - 702 pages
...with any corporation, association, business trust, or other similar organization engaged principally in the issue, flotation, underwriting, public sale,...through syndicate participation of stocks, bonds, debentures, notes, or other securities. Violation of this section subjects the member bank to a penalty... | |
 | United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Monetary Policy, Banking, and Deposit Insurance - Banks and banking - 1935 - 1038 pages
...corporation or unincorporated association, no partner or employee of any partnership, and no individual* primarily engaged in the issue, flotation, underwriting,...participation, of stocks, bonds, or other similar securities, shall serve at the same time as an officer, director, or employee of any member bank except in limited... | |
 | New York (State) - Session laws - 1935 - 1282 pages
...associations pro- tion, business trust, or similar organization engaged principally in wwted. tjle jssue> flotation, underwriting, public sale, or distribution...through syndicate participation of stocks, bonds, debentures, notes or other securities. § 2. Section one hundred and ninety of such chapter is hereby... | |
 | United States. Congress. House. Temporary National Economic Committee - Antitrust investigations - 1939 - 1396 pages
...any corporation, association, business trust, or any other similar organization engaged principally In the issue, flotation, underwriting, public sale,...through syndicate participation of stocks, bonds, debentures, notes, or other securities.1 Do I understand that you take the position that the Bankers... | |
 | United States. Supreme Court, John Chandler Bancroft Davis, Henry Putzel, Henry C. Lind, Frank D. Wagner - Courts - 1947 - 1026 pages
...violate the law.1 Section 32 of the Act prohibits, inter alia, any partner or employee of any partnership "primarily engaged in the issue, flotation, underwriting,...participation, of stocks, bonds, or other similar securities" from serving at the same time as an officer, director, or employee of a member bank.2 1 Section 30... | |
 | United States. Supreme Court - Law reports, digests, etc - 1947 - 1006 pages
...violate the law.1 Section 32 of the Act prohibits, inter alia, any partner or employee of any partnership "primarily engaged in the issue, flotation, underwriting,...participation, of stocks, bonds, or other similar securities" from serving at the same time as an officer, director, or employee of a member bank.2 1 Section 30... | |
 | United States. Supreme Court, John Chandler Bancroft Davis, Henry Putzel, Henry C. Lind, Frank D. Wagner - Courts - 1947 - 1000 pages
...violate the law.1 Section 32 of the Act prohibits, inter alia, any partner or employee of any partnership "primarily engaged in the issue, flotation, underwriting,...participation, of stocks, bonds, or other similar securities" from serving at the same time as an officer, director, or employee of a member bank.2 1 Section 30... | |
 | Administrative law - 1967 - 272 pages
...service as officers, directors, or employees of Licensees (interpreting § 107.102(d)). The Board of Governors of the Federal Reserve System has ruled...directors, or employees of Licensee companies. (12 CFB 218.103; 25 FB 4427, May 19, 1960.) I Amdt. 10, 30 FB 8776, July 13, 1965] § 107.1019 Acquisition... | |
 | Administrative law - 1968 - 296 pages
...(d)). The Board of Governors of the Federal Reserve System has ruled that a corpo86-028 — 68 7 ration engaged exclusively in activities permitted under...Licensee companies. (12 CFR 218.103; 25 FR 4427, May 19, 1960.) [Amdt. 10, 30 FR 8776, July 13, 1965] § 107.1019 Acquisition of stock purchase warrants... | |
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