 | United States. Securities and Exchange Commission - Securities - 1945 - 1290 pages
...indirect underwriting of any such undertaking; but such term shall not Include a person whose Interest IB limited to a commission from an underwriter or dealer...and customary distributors' or sellers' commission. As used In this paragraph the term "issuer" shall include. In addition to an Issuer, any person directly... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1937 - 580 pages
...of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct...and customary distributors' or sellers' commission. The Commission may, by rule or regulation or order, declare any such person or any class of such persons... | |
 | United States. Congress. Senate. Committee on Finance - United States - 1939 - 1104 pages
...participates or has a participation in the direct or indirect underwriting of any such undertakng; but such term shall not include a person whose interest...and customary distributors' or sellers' commission. Definitions. Application of terms defined In Securities Act of 1933. 48 Stat. 74. ISU.SCJTTb. "Sale... | |
 | United States. Securities and Exchange Commission - Securities - 1941 - 1192 pages
...of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct...and customary distributors' or sellers' commission. As used in this paragraph the term "issuer" shall include, in addition to an issuer, any person directly... | |
 | United States. Securities and Exchange Commission - Securities - 1956 - 716 pages
...of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct...and customary distributors' or sellers' commission." will not be in charge of the management or operation of the hotel but that Clayton V. Smith, who is... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 98 pages
...of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct...and customary distributors' or sellers' commission. (4) The term "director" means any director of a corporation, or any individual performing similar functions... | |
 | United States. Securities and Exchange Commission - Securities - 1956 - 1016 pages
...has a participation in the direct or indirect underwriting of any such undertaking; but such terms shall not include a person whose interest is limited...and customary distributors' or sellers' commission . . ." " Under Rules 424 (c) and 427 of the General Rules and Regulations adopted pursuant to the Securities... | |
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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... 
