 ... such undertaking, or 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 or dealer not in excess...  Investment Company Act of 1940, as Amended - Página 3por United States - 1977Vista completa - Acerca de este libro
 | United States. Congress. Senate. Committee on Banking and Currency - 1934 - 1008 páginas
...deems it necessary or desirable, of consolidated balance sheets or income accounts of any ]>ers<>ri directly or indirectly controlling or controlled by...direct or indirect common control -with the issuer. Mr. CORCORAN. But that again conies down to uniform accounting methods, which we have just discussed,... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1933 - 1262 páginas
...it necessary or 'i'-'irable. of consolidated balance sheets or income accounts of any person iro-tly or indirectly controlling or controlled by the issuer, or any person under ii'it or indirect common control with the issuer; but insofar as they relate t» any common carrier... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 1106 páginas
...is or is to be received directly or indirectly by the issuer thereof. As used in this paragraph (t) the term "issuer" shall include, in addition to an...direct or indirect common control with the issuer. (j) The term "new security" shall mean any security included in a new issue of securities. (K) The... | |
 | United States. Congress. Senate. Interstate and Foreign Commerce Committee - 1934 - 972 páginas
...the Commission deems it necessary or desirable, of consolidated balance sheets or income accounts of any person directly or indirectly controlling or controlled...direct or indirect common control with the issuer; but insofar as they relate to any common carrier subject to the provisions of section 20 of the Interstate... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1934 - 984 páginas
...deems it necessary or desirable, of separate and/or consolidated balance sheets or income accounts of any person directly or indirectly controlling or controlled by the issuer, or any person under direct or indirttt common control with the issuer ; but insofar as the accounts relate to any person whose accounting... | |
 | United States. Securities and Exchange Commission - 1940 - 1240 páginas
...commission from an underwriter or dealer not In excess of the iiMinl and customary distributors' or sellers' commission. As used In this paragraph the term "Issuer"...direct or indirect common control with the Issuer. & Son received a further $1,700 for the preparation of a report upon the organization and prospectus... | |
 | United States. Securities and Exchange Commission - 1941 - 1192 páginas
...commission from an underwriter or dealer not in excess of the usual and customary distributors' or sellers' commission. As used in this paragraph the term "issuer"...direct or indirect common control with the issuer. It is apparent that Hoover is a "person directly or indirectly controlling * * * the issuer * * *"... | |
 | United States. Securities and Exchange Commission - 1938 - 128 páginas
...the term "issuer" shall include, in addition to an "issuer" within the meaning of section 3 (a) (8), any person directly or indirectly controlling or controlled...direct or indirect common control with the issuer. As used in this rule, the term "issue" shall include, in addition to an issue of securities issued... | |
 | United States - 1938 - 48 páginas
...deems it necessary or desirable, of separate and/or consolidated balance sheets or income accounts of any person directly or indirectly controlling or controlled...direct or indirect common control with the issuer; but in the case of the reports of any person whose methods of accounting are prescribed under the provisions... | |
 | Wisconsin - 1939 - 1150 páginas
...for the purpose of violating or evading any provision of this chapter. As used in this subsection, the term "issuer" shall include, in addition to an...direct or indirect common control with the issuer. funding issue until such first lien is established, and the total amount of such securities does not... | |
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