 | United States. Securities and Exchange Commission - Securities - 1956 - 716 pages
...effect with respect to the securities.7 Section 2 (11) of the Securities Act defines an underwriter as "any person who has purchased from an issuer with...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 - Securities - 1940 - 1240 pages
...fees. a Section 2 (11) of the Securities Act of 1933, as amended, defines an underwriter as follows : The term "underwriter" means any person who has purchased from an Issuer with a view to, or Bells for an Issuer In connection with, the distribution of any security, or participates or has a... | |
 | United States. Securities and Exchange Commission - Securities - 1941 - 1124 pages
...the studies 'Section 2 (11) defines the term "underwriter" to Include "any person who baa purekued from an issuer with a view to, or sells for an Issuer In connection with, the dlstrQration of an; security." Rule 455 defines "principal underwriter" to Include "an ufcrwriter In... | |
 | United States. Securities and Exchange Commission - Securities - 1949 - 1134 pages
...DEFICIENCIES RELATING TO THE UNDERWRITING INFORMATION Section 2 (11) of the Act defines an underwriter as "any person who has purchased from an issuer with a view to ... the distribution of any security, or participates or has a direct or indirect participation in... | |
 | United States. Securities and Exchange Commission - Securities - 1953 - 824 pages
...1. WAS RESPONDENT AN "UNDEBWBITEB"? Section 2 (11) defines an "underwriter" as any person who . . . sells for an Issuer in connection with, the distribution of any security ... As used in this paragraph the term "issuer" shall Include . . . any person . . . controlling .... | |
 | United States. Securities and Exchange Commission - Securities - 1960 - 996 pages
...than an Issuer, underwriter or dealer. Section 2(11) of that Act defines an "underwriter" in part as any person who has purchased from an Issuer with a view to the distribution of any security, and "Issuer" is defined to include any person directly or indirectly... | |
 | United States. Securities and Exchange Commission - Securities - 1953 - 828 pages
...Exchange Act. The Federal Corporation, 25 SEC 227 (1947). "Section 2 (11) provides In pertinent part: "Tbe term 'underwriter' means any person who has purchased from an issuer with • view to, or sells for an Issuer In connection with, the distribution of any security, or participates... | |
 | United States - Law - 2000 - 1216 pages
...original. Page 361 Page 362 to 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 view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates... | |
 | United States. Securities and Exchange Commission - Securities - 1944 - 1290 pages
...course, be underwriters, since they will * Section 2 (11) defines the term "underwriter" to Include "any person who has purchased from an Issuer with...connection with, the distribution of any security." Rule 4E5 defines "principal underwriter" to include "an underwriter in privity of contract with the... | |
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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... 
