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" ... (2) to carry or to cause to be carried through the mails or in interstate commerce any such security for the purpose of sale or for delivery after sale, unless accompanied or preceded by a prospectus that meets the requirements of section 10. "
United States Congressional Serial Set - Page 155
1940 - 211 pages
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Official Congressional Directory

United States. Congress - 1932 - 742 pages
...requirements of section 10. (2) To carry or cause to be carried in interstate commerce or through the mails any such security for the purpose of sale or for delivery...prospectus that meets the requirements of section 10. Special powers arc given to the commission to make, amend, and rescind such rules and regulations as...
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Decisions and Reports

United States. Securities and Exchange Commission - Securities - 1941 - 1690 pages
...prospectus relating to nny security registered under this title, unless such prospectus meets iii'' requirements of Section 10; or (2) to carry or cause...prospectus that meets the requirements of Section 10. •Sections 17 (a) (2) and (3) provide: It shall be unlawful for any person In the sale of any securities...
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Decisions and Reports, Volume 19

United States. Securities and Exchange Commission - Securities - 1951 - 862 pages
...provides: It shall be unlawful for any person, directly or indirectly — ***** (2) to carry or to cause to be carried through the mails or in interstate...prospectus that meets the requirements of Section 10. Section 17 (a) (2) of the Securities Act of 1933 provides: It shall be unlawful for any person in the...
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Decisions and Reports, Volume 30

United States. Securities and Exchange Commission - Securities - 1956 - 1016 pages
...cause to be carried through the mails or in interstate commerce" securities registered under the Act for the purpose of sale or for delivery after sale,...prospectus that meets the requirements of Section 10. Halsey argues that it was exempted from this requirement beginning a year after the public offering...
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United States Reports: Cases Adjudged in the Supreme Court at ..., Volume 312

United States. Supreme Court, John Chandler Bancroft Davis, Henry Putzel, Henry C. Lind, Frank D. Wagner - Courts - 1941 - 816 pages
...person, directly or indirectly — "(1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails...prospectus that meets the requirements of section 10." Section 11 [15 USC, § 77k] permits security holders to sue specified persons who, in some way, make,...
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United States Reports: Cases Adjudged in the Supreme Court at ..., Volume 312

United States. Supreme Court, John Chandler Bancroft Davis, Henry Putzel, Henry C. Lind, Frank D. Wagner - Courts - 1941 - 828 pages
...person, directly or indirectly — "(1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails...prospectus that meets the requirements of section 10." Section 11 [15 USC, § 77k] permits security holders to sue specified persons who, in some way, make,...
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Study of Securities and Exchange Commission: Hearings Before a ..., Parts 1-2

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1952 - 1246 pages
...understand, a security may not be sold in interstate commerce or through the mails unless accompanied by or preceded by a prospectus that meets the requirements of section 10. Is that correct? Mr. BANE. No, sir. Mr. BANE. After a registration statement has become effective,...
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Advertising and Small Business: Hearings Before the Subcommittee on ...

United States. Congress. House. Select Committee on Small Business. Subcommittee on Activities of Regulatory Agencies - Advertising - 1971 - 1064 pages
...securities "unless a Registration Statement is in effect", and Section 5 (b) makes such sales unlawful unless accompanied or preceded by a "prospectus that meets the requirements of Subsection (a) of Section 10". Section 10 of the 1933 Act requires that a prospectus "shall contain...
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Executive Stock Options and Stock Appreciation Rights

Herbert Kraus - Business & Economics - 2023 - 870 pages
...been filed, or to deliver any such security through the mails or in interstate commerce that is not accompanied or preceded by a prospectus that meets the requirements of Section 10(a); and Section 10(a) itself requires that the information contained in a prospectus used more than...
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Laws Relating to Securities Commission, Exchanges and Holding Companies ...

United States - Holding companies - 1973 - 402 pages
...corporation, incorporated by and doing business within, such State or Territory. (2) to carry or to cause to be carried through the mails or in interstate...prospectus that meets the requirements of section 10. REGISTRATION OF SECURITIES AND SIGNING OF REGISTRATION STATEMENT SEC. 6. (a) Any security may be registered...
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