 | United States. Securities and Exchange Commission - Securities - 1963 - 1134 pages
...be delivered by an underwriter continuing to act as such and by a dealer effecting transactions in securities constituting the whole or a part of an...or subscription by such dealer as a participant in the distribution so long as such underwriter or dealer is participating in a distribution, no matter... | |
 | United States - 1937 - 1596 pages
...such exchange and partly for cash and/or property, or issued upon exercise of any right to subscribe or conversion privilege so issued, except (a) transactions...with a distribution otherwise than pursuant to the plan, and (b) transactions by a dealer as to securities constituting the whole or a part of an unsold... | |
 | United States. Congress. Senate. Committee on Finance - United States - 1939 - 780 pages
...such exchange and partly for cash and/or property, or issued upon exercise of any right to subscribe or conversion privilege so issued, except (a) transactions...with a distribution otherwise than pursuant to the plan, and (b) transactions by a dealer as to securities constituting the whole or a part of an unsold... | |
 | United States. Securities and Exchange Commission - Securities - 1953 - 824 pages
...was bona fide offered to the public ... by or through an underwriter . . . and except transactions as to securities constituting the whole or a part...or subscription by such dealer as a participant In the distribution of such securities ... by or through an underwriter. ; and Section 4 (2) which exempts... | |
 | United States. Securities and Exchange Commission - Securities - 1956 - 1016 pages
...fide offered to the public by the issuer or by or through an underwriter . . . and except transactions as to securities constituting the whole or a part of an unsold allotment to or been filled without any wholesale purchasing by It up to May, 1944. Had Halsey consistently filled... | |
 | United States - Law - 1953 - 1692 pages
...order issued under section 77h of this title is in effect as to the security) , and except transactions petition within the United States or otherwise restrains...(Apr. 10, 1918, ch. 50, § 2, 40 Stat. 517.) § 63. Ac the distribution of such securities by the issuer or by or through an underwriter. i77d Page 1657 §77f... | |
 | United States - Corporation law - 1944 - 296 pages
...such exchange and partly for cash and/or property, or issued upon exercise of any right to subscribe or conversion privilege so issued, except (a) transactions by an issuer or an underwriter hi connection with a distribution otherwise than pursuant to the plan, and (b) transactions by a dealer... | |
 | Administrative law - 1988 - 536 pages
...acting as an underwriter with respect to the securities involved or who is engaged in a transaction as to securities constituting the whole or a part...or subscription by such dealer as a participant in the distribution of such securities by the issuer or by or through an underwriter. (15 USC 77d; Secs.... | |
 | Administrative law - 1998 - 784 pages
...least $10 million of securities of issuers that are not affiliated with the dealer, Provided, That a dealer as a partici-pant in a public offering shall not be deemed to be owned by such dealer; (ill)... | |
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... as to securities constituting the whole or a part of an unsold allotment to or subscription by such dealer as a participant in a distribution of such securities by the issuer or by or through an underwriter otherwise than pursuant to the plan. 
