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" 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
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The Code of Federal Regulations of the United States of America

Administrative law - 1971 - 600 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...
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The Code of Federal Regulations of the United States of America

Administrative law - 1972 - 732 pages
...as to any material underwriting discounts and commissions xipon 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...
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The Code of Federal Regulations of the United States of America

Administrative law - 1973 - 750 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...
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The Code of Federal Regulations of the United States of America

Administrative law - 1968 - 634 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...
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The Code of Federal Regulations of the United States of America

Administrative law - 1967 - 556 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...
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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...
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The Code of Federal Regulations of the United States of America

Administrative law - 1970 - 548 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...
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The Code of Federal Regulations of the United States of America

Administrative law - 1972 - 668 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...
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Status and Future of Small Business: Hearings, Ninetieth Congress ..., Part 2

United States. Congress. Senate. Committee on Small Business - Small business - 1967 - 898 pages
...underwriting discounts and commission upon the sale of securities by the registrant where any of thespecified persons was or is to be a principal underwriter or is a controlling person, a member, of a firm which was or is to be a principal underwriter. Item 72. Financial Statement! (1)...
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