Hidden fields
Books Books
" Is a controlling person or member of a firm which was or is to be a principal underwriter. Information need not be given concerning ordinary management fees paid by underwriters to a managing underwriter pursuant to an agreement among underwriters the... "
Interstate Commerce Commission Reports: Reports and Decisions of the ... - Page 364
by United States. Interstate Commerce Commission
Full view - About this book

Federal Reserve Bulletin

Banks and banking - 1965 - 982 pages
[ Sorry, this page's content is restricted ]
Snippet view - About this book

The Code of Federal Regulations of the United States of America

Administrative law - 1979 - 1228 pages
...to any material underwriting discounts and commissions upon the sale of securities by the registrant where any of the specified persons was or is to be...underwriters the parties to which do not Include the registrant or its subsidiaries. 10. The foregoing instructions specify certain transactions and interests...
Full view - About this book

Code of Federal Regulations: Containing a Codification of Documents of ...

Administrative law - 1966 - 268 pages
...to any material underwriting discounts and commissions upon the sale of securities by the registrant where any of the specified persons was or is to be...underwriters the parties to which do not include the registrant or its subsidiaries. 6. No information need be given in answer to this item as to any transaction...
Full view - About this book

Code of Federal Regulations: Containing a Codification of Documents of ...

Administrative law - 1979 - 1804 pages
...to any material underwriting discounts and commissions upon the sale of securities by the registrant where any of the specified persons was or is to be...underwriters the parties to which do not include the registrant or its subsidiaries. 10. The foregoing instructions specify certain transactions and interests...
Full view - About this book

Code of Federal Regulations: Containing a Codification of Documents of ...

Administrative law - 1968 - 782 pages
...discounts and commissions upon the sale of securities by the registrant where any of the specified persona was or is to be a principal underwriter or Is a controlling...underwriters the parties to which do not Include the registrant or its subsidiaries. 6. No information need by given In answer to this item as to any transaction...
Full view - About this book

Code of Federal Regulations: Containing a Codification of Documents of ...

Administrative law - 1977 - 966 pages
...persons was or Is to be a principal underwriter or Is a controlling person or a member of a firm that was or Is to be a principal underwriter. Information...underwriters the . parties to which do not include the bank or its subsidiaries. (b) State as to each of the following persons who was indebted to the bank...
Full view - About this book

The Code of Federal Regulations of the United States of America

Administrative law - 1968 - 768 pages
...specified persons was a principal underwriter or a controlling person or member of a firm which was a principal underwriter. Information need not be given...underwriters the parties to which do not include the issuer or its subsidiaries. 7. No information need be given in answer to this item as to any transaction...
Full view - About this book

The Code of Federal Regulations of the United States of America

Administrative law - 1971 - 592 pages
...included as to any material underwriting discounts and commissions upon the sale of securities by the bank where any of the specified persons was or is to be...underwriter or is a controlling person or member of a firm that was or is to be a principal underwriter. Information need not be given concerning ordinary management...
Full view - About this book

Code of Federal Regulations: Containing a Codification of Documents of ...

Administrative law - 1998 - 784 pages
...material un-derwriting discounts and commissions upon the sale of securities by the small business Issuer (X)XvY V N that was or is to be a principle underwriter. 3. As to any transaction Involving the purchase or sale...
Full view - About this book

The Code of Federal Regulations of the United States of America

Administrative law - 1989 - 820 pages
...persons were or are to be a principal underwriter or is a controlling person or a member of a firm that was or is to be a principal underwriter. Information need not be given concerning ordinary managment fees paid by underwriters to a managing underwriter pursuant to an agreement among underwriters...
Full view - About this book




  1. My library
  2. Help
  3. Advanced Book Search
  4. Download EPUB
  5. Download PDF