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" As to any securities sold privately, name the persons or identify the class of persons to whom the securities were sold. (c) As to securities sold for cash, state the aggregate offering price and the aggregate underwriting discounts or commissions. As... "
The Code of Federal Regulations of the United States of America - Página 430
1967
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Code of Federal Regulations: Containing a Codification of Documents of ...

1974 - 786 páginas
...of sale, title, and amount of securities sold. (b) Give the names of the principal underwriters, 11 any. As to any securities sold privately, name the...aggregate amount of consideration received by the bank. Instructions. (1) Information need not be set forth as to notes, drafts, bills of exchange, or...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1966 - 268 páginas
...outstanding securities. (a) Olve the date of sale and the title and amount of securities sold. (b) Olve the names of the principal underwriters, if any. As...for cash, state the nature of the transaction and tlie nature and aggregate amount of consideration received by the registrant. (d) Give a reasonably...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1983 - 844 páginas
...date of sale, title, and amour: of securities sold. (b) Give the names of the principal under writers, if any. As to any securities sold privately, name...the transaction and the nature and aggregate amount ol consideration received by the bank. (d) Give a reasonably itemized statement of the purposes, so...
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The Code of Federal Regulations of the United States of America

1968 - 768 páginas
...Give the names of the principal underwriters, if any. As to any securities sold not publicly offered, name the persons or identify the class of persons...amount of consideration received by the registrant. (d) Indicate the section of the Act or the Rule of the Commission under which exemption from registration...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1968 - 782 páginas
...Give the names of the principal underwriters, if any. As to any securities sold not publicly offered, name the persons or Identify the class of persons...amount of consideration received by the registrant. (d) Indicate the section of the Act or the Rule of the Commission under which exemp.. tlon from registration...
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The Code of Federal Regulations of the United States of America

1985 - 974 páginas
...Give the names of the principal underwriters, if any. As to any securities sold pri§ 206.41 vately, name the persons or identify the class of persons...aggregate amount of consideration received by the bank. (d) Give a reasonably itemized statement of the purposes, so far as determinable. for which the...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1998 - 784 páginas
...name the persons or Identify the class of persons to whom the securities were sold. (c) Consideration. As to securities sold for cash, state the aggregate...of consideration received by the reg-istrant. (d) Exemption from registration claimed. Indicate the section of the Securities Act or the rule of the...
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The Code of Federal Regulations of the United States of America

1997 - 734 páginas
...name the persons or identify the class of persons to whom the securities were sold. (c) Consideration. As to securities sold for cash, state the aggregate...amount of consideration received by the registrant. (d) Exemption from registration claimed. Indicate the section of the Securities Act or the rule of the...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1987 - 530 páginas
...name the persons or identify the class of persons to whom the securities were sold. (c) Consideration. As to securities sold for cash, state the aggregate...amount of consideration received by the registrant. (d) Exemption from registration claimed. Indicate the section of the Securities Act or the rule of the...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1972 - 688 páginas
...sold privately, name the persons or Identify the class of persons to whom the securities were •old. (c) As to securities sold for cash, state the aggregate...aggregate amount of consideration received by the bank. Instructions. 1. Information need not be set forth as to notes, drafte, bills of exchange, or...
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