 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...  The Handbook of Alternative Assets - Página 143por Mark J. P. Anson - 2003 - 512 páginasVista previa limitada - Acerca de este libro
 | United States. Securities and Exchange Commission - 1945 - 1290 páginas
...Issuer, or any person under direct or indirect common control with the issuer. a Section 5 (a) provides : Unless a registration statement is In effect as to...person, directly or indirectly — (1) to make use of nny means or instruments of transportation or communication in Interstate commerce or of the mails... | |
 | United States. Securities and Exchange Commission - 1956 - 926 páginas
...operates or would operate as a fraud or deceit upon the purchaser." n Section 6 (a) provides : "(a) Unless a registration statement is in effect as to...or communication In Interstate commerce or of the malls to sell or offer to buy such security through the use or medium of any prospectus or otherwise... | |
 | United States. Supreme Court - 1936 - 1044 páginas
...untrue statements of material facts or omissions to state material facts. Section 5 (a) provides that unless a registration statement is in effect as to a security, it shall be unlawful for any person directly or indirectly to make use of the instrumentalities of interstate commerce or of the mails... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1937 - 580 páginas
...enactment of this section, it shall be unlawful for any protective committee, directly or indirectly, to make use of any means or instruments of transportation...communication in interstate commerce or of the mails in order to solicit a protective committee agreement or any amendment thereto, or in order to solicit... | |
 | United States. Congress. House. Committee on the Judiciary - 1937 - 226 páginas
...enactment of this section, it shall be unlawful for any protective committee, directly or indirectly, to make use of any means or instruments of transportation...communication in interstate commerce or of the mails in order to solicit a protective committee agreement or any amendment thereto, or in order to solicit... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1937 - 580 páginas
...enactment of this section, it shall be unlawful for any protective committee, directly or indirectly, to make use of any means or instruments of transportation...communication in interstate commerce or of the mails in order to solicit a protective committee agreement or any amendment thereto, or in order to solicit... | |
 | United States. Securities and Exchange Commission - 1953 - 1110 páginas
...segregation of portions of larger financing operations into separate issues •Section 6 (a) provides : "(a) Unless a registration statement is in effect as to...communication in interstate commerce or of the mails to sell or offer to buy such security through the us* or medium of any prospectus or otherwise: or "(2) to... | |
 | United States. Securities and Exchange Commission - 1953 - 824 páginas
...outstanding. Of this amount, the public held 18,249 •Section 5 (a) of the Securities Act provides : Unless a registration statement Is In effect as to...or communication In Interstate commerce or of the malls to sell or offer to buy such security through the use or medium of any prospectus or otherwise... | |
 | United States. Securities and Exchange Commission - 1952 - 920 páginas
...be treated in all respects as if they "•d been raised in the pleadings." "Section 5 (a) provides: Unless a registration statement is in effect as to...or communication in interstate commerce or of the malls to sell or offer to buy such security through the use or medium of any prospectus or otherwise;... | |
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