 | Robert H. Rosenblum - Mutual funds - 2003 - 980 pages
...economically equivalent to options on securities might themselves be securities). 16. 15 USC * 80a-2(a)(40). participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter... | |
 | Douglas L. Hammer - Business & Economics - 2005 - 398 pages
...with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a participation in the direct or indirect underwriting of any such undertaking."144 An issuer can demonstrate that it has taken reasonable care not to sell to an underwriter... | |
 | Robert Mark Walker - Business & Economics - 2006 - 363 pages
...or solicitation of an offer to buy, a security or interest in a security, for value • Underwriter: any person who has purchased from an issuer with a...direct or indirect underwriting of any such undertaking And, boy, that sure clears things up, doesn't it? In English, what that means is that an issuer is... | |
 | Michael J. Ramos - Business & Economics - 2006 - 818 pages
...registration statement complies as to form in all material respects with Regulation SK. Underwriter. Any person who has purchased from an issuer with a...or indirect underwriting of any such undertaking. An underwriter does not include a person whose interest is limited to a commission from an underwriter... | |
 | Darrell R. Larsen - Business & Economics - 2005 - 340 pages
...or sells for an issuer in connection with, the distribution of any security, or participates or has direct or indirect participation in any such undertaking,...in the direct or indirect underwriting of any such undertaking."33 Section 4(1) of the Securities Act exempts from the registration requirements transactions... | |
 | Robert Walker - Business & Economics - 2006 - 462 pages
...issuer in connection with, the distribution of any security, or 7 7 participates or has a director indirect participation in any such undertaking, or...direct or indirect underwriting of any such undertaking When all it really means, apparently, is: An "underwriter" means any individual or legal entity who... | |
 | Robert Mark Walker - Business & Economics - 2007 - 527 pages
..."issuer" means every person who issues or proposes to issue any security • The term "underwriter" means any person who has purchased from an issuer with a...direct or indirect underwriting of any such undertaking Hmm. Thanks for clearing that up, huh? Oh well, that's partly why I have a job. Anyway, notice how... | |
 | United States - Securities - 1991 - 692 pages
...such terms and conditions as may be prescribed therein, may permit. (11) The term "underwriter" means any person who has purchased from an issuer with a...or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter... | |
 | United States. Securities and Exchange Commission - Securities - 1988 - 764 pages
...issuer or its representatives setting forth, among other matters. (2) The term "underwriter" means any person who has purchased from an issuer with a...or indirect underwriting of any such undertaking: but such term shall not include a person whose interest is limited to a commission, concession or allowance... | |
 | United States - Holding companies - 1973 - 402 pages
...executed. "(4) The term 'underwriter' means any person who has purchased from an issuer with a view to, or sells for an issuer in connection with, the distribution...in the direct or indirect underwriting of any such undertakng; but such term shall not include a person whose interest is limited to a commission from... | |
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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... 
