 | United States - Securities - 1997 - 776 pages
...section 10; or , , ., (2) to carry or cause to be carned 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... | |
 | Patrick D. Dolan, C. VanLeer Davis - Business & Economics - 2000 - 1220 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... | |
 | United States - Securities - 2001 - 860 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... | |
 | 2001 - 966 pages
...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... | |
 | United States - Business & Economics - 2003 - 946 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... | |
 | Mary K. Samsa - Law - 2003 - 642 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... | |
 | Harding de C. Williams - Business & Economics - 2006 - 382 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... | |
 | United States - 1933 - 690 pages
...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... | |
 | United States - Holding companies - 1973 - 402 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... | |
 | United States - Securities - 1991 - 692 pages
...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... | |
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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... 
