Search Images Maps Play YouTube News Gmail Drive More »
Sign in
Books Books
" SECTION 5 (a) Unless a registration statement is in effect as to a security, it shall be unlawful for any person, directly or indirectly (1) to make use of any means or instruments of transportation or communication in interstate commerce or of the mails... "
Trust Indentures: Hearings Before a Subcommittee of the Committee on ... - Page 2
by United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 92 pages
Full view - About this book

Securitizations: Legal and Regulatory Issues

Patrick D. Dolan, C. VanLeer Davis - Law - 2000 - 1764 pages
...77j of this title; or (2) to carry or 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 subsection (a) of section...
Limited preview - About this book

Compilation of Securities Laws Within the Jurisdiction of the Committee on ...

United States - Securities - 2001 - 852 pages
...is effective as to such indenture, it shall be unlawful for any person, directly or indirectly — to sell such security through the use or medium of...the purpose of sale or for delivery after sale. (b) In the case of any security which is not registered under the Securities Act of 1933, but which has...
Full view - About this book

107-1 Hearings: Role of U.S. Correspondent Banking in International Money ...

2001
...Act [15 USC S 77j] ; or carrying or causing 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 by a prospectus that meets the requirements of subsection (a) of section 10 of the...
Full view - About this book

Compilation of securities laws within the jurisdiction of the Committee on ...

United States - Securities - 2003 - 930 pages
...under an indenture and an application for qualification is effective as to such indenture, it shall be unlawful for any person, directly or indirectly —...for the purpose of sale or for delivery after sale. (1) to make use of any means or instruments of transportation or communication in interstate commerce...
Full view - About this book

International Employee Equity Plans: Participation Beyond Borders

Mary K. Samsa - Law - 2003 - 620 pages
...prospectus or otherwise, or to carry or cause to be carried through the mails or in interstate commerce any such security for the purpose of sale or for delivery after sale. Therefore, if securities are offered and sold pursuant to any type of compensatory arrangement (eg...
Limited preview - About this book

Federal Banking Law and Regulations: A Handbook for Lawyers

Harding de C. Williams - Law - 2006 - 361 pages
...security, it shall be unlawful for any person, directly or indirectly: 3. 15 USC 77c(a)(2) & (a)(5). (1 ) to make use of any means or instruments of transportation...for the purpose of sale or for delivery after sale. Registration The Commission has adopted a number of forms for registering securities offerings under...
Limited preview - About this book

United States Congressional Serial Set

United States - 1933
...instruments of transportation or communication in interstate commerce or of the mails to sell or offer to buy such security through the use or medium of any prospectus...the purpose of sale or for delivery after sale. (b) It shall be unlawful for any person, directly or indirectly — (1) to make use of any means or instruments...
Full view - About this book

Laws Relating to Securities Commission, Exchanges and Holding Companies ...

United States - Holding companies - 1973 - 372 pages
...or indirectly— "(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, to the extent the Commission may prescribe by rules and regulations as necessary or appropriate...
Full view - About this book

Compilation of Securities Laws Within the Jurisdiction of the Committee on ...

United States - Securities - 1991
...section 305; or (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, to the extent the Commission may prescribe by rules and regulations as necessary or appropriate...
Full view - About this book




  1. My library
  2. Help
  3. Advanced Book Search
  4. Download EPUB
  5. Download PDF