 | United States. Congress. Senate. Committee on Finance - 1939 - 1104 páginas
...more than identify the security, state the price thereof, and state by whom orders will be 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 of any security, or participates or has a... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1937 - 580 páginas
...performing similar functions with respect to any person whether incorporated or unincorporated . (18) 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 of any security, or participates or has a... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1937 - 580 páginas
...performing similar functions with respect to any person whether incorporated or unincorporated. (18) 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 of any security, or participates or has a... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 98 páginas
...certificate gives the holder thereof the right to convert the same into such security or securities. (3) 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 of any security, or participates or has a... | |
 | United States. Securities and Exchange Commission - 1941 - 1192 páginas
...Act of individuals who sell stock for Hoover. Section 2 (11) of the Securities Act reads as follows: 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 of any security, or participates or has a... | |
 | United States. Securities and Exchange Commission - 1940 - 1240 páginas
...Rosenbaum •The term "underwriter" is defined by Section 2 (11) of the Securities Act as follows: 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 of any security, or participates or has a... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1938 - 106 páginas
...certificate gives the holder thereof the right to convert the same into such security or securities. (3) 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 of any security, or participates or has a... | |
 | United States. Securities and Exchange Commission - 1956 - 716 páginas
...Securities Act defines an underwriter as "any person who has purchased from an issuer with a view to, or sells for an issuer in connection with, the distribution of any security," and provides further that "As used in this paragraph the term 'issuer' shall include, in addition to... | |
 | United States. Securities and Exchange Commission - 1956 - 1016 páginas
...Halsey, following the end of the year, •Section 2 (11) of the Securities Act defines an underwriter as: "any person who has purchased from an issuer with a view to, or sells for an issuer in connection with, the distribution of any security or participates or has a direct... | |
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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... 
