 | United States. Securities and Exchange Commission - 1953 - 824 páginas
...was bona fide offered to the public ... by or through an underwriter . . . and except transactions as to securities constituting the whole or a part...participant In the distribution of such securities ... by or through an underwriter. ; and Section 4 (2) which exempts Brokers' transactions, executed upon customers'... | |
 | United States - 1953 - 1692 páginas
...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...trade corporation. Nothing contained in section 18 of i77d Page 1657 §77f (2) Brokers' transactions, executed upon customers' orders on any exchange or... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1942 - 264 páginas
...which a stop order issued under section 8 is in effect as to such security) and except transactions as to securities constituting the whole or a part...securities by the issuer or by or through an underwriter ; "(4) Transactions on a national securities exchange; "(5) Brokers' transactions, executed upon customers'... | |
 | 1966 - 268 páginas
...239.19), or Fl (17 CFR 239.9) : Provided, In the case of a registration statement on Forms S-12 (17 CFR 239.19) or Fl (17 CFR 239.9), this provision shall...through an underwriter. (Sec. 12, 78 Stat. 580; 15 USC 77d) [29 FR 19100, Dec. 30, 1964] REGtTLATION A: GENERAL EXEMPTlONS § 230.261 Suspension of exemption.... | |
 | 1988 - 536 páginas
...iniSecurities and Exchange Commission tial prospectus delivery period specified in section 4(3) of the Act following the first bona fide offering of securities...securities by the issuer or by or through an underwriter. (15 USC 77d; Secs. 6, 7, 8, 10, 19(a), 48 Stat. 78, 79, 81, 85; secs. 205, 209, 48 Stat. 906, 908;... | |
 | 1978 - 1252 páginas
...after the expiration of the initial prospectus delivery period specified in section 4(3) of the Act following the first bona fide offering of securities...securities by the issuer or by or through an underwriter. (15 USC 77d) [35 PR 18457, Dec. 4, 1970] REGULATION AR: SPECIAL EXEMPTIONS AUTHORITY: Sections 230.234... | |
 | 1978 - 1130 páginas
...stop order issued under section 8 of the Act; or Chapter II — Securities and Exchange Commission (2) As the Commission may provide upon application...securities by the issuer or by or through an underwriter. (15U.SC 77d) [35 PR 18457. Dec. 4, 1970] REGULATION AR: SPECIAL EXEMPTIONS AUTHORITY: Sections 230.234... | |
 | 1977 - 958 páginas
...subject of a stop order issued under section 8 of the Act; or (2) As the Commission may provide npon application or on its own motion in a particular case....securities by the Issuer or by or through an underwriter. (15 USO 77<J) [85 TR 18467, Dee. 4, 1970] REGULATION AR: SPECIAL EXEMPTIONS АОТНОВГГТ: 5 Î... | |
 | 1971 - 660 páginas
...As the Commission may provide upon application or on its own motion in a particular case. § 230.234 (e) Nothing in this section shall affect the obligation...securities by the issuer or by or through an underwriter. (15 USC 77d) [35 PR 18457, Dec. 4, 1970] REGULATION AR: SPECIAL EXEMPTIONS AUTHOBITY: §§230.234 to... | |
 | 1997 - 734 páginas
...or (2) As the Commission may provide upon application or on its own motion in a particular case. (f) Nothing in this section shall affect the obligation...securities by the issuer or by or through an underwriter. (g) If the registration statement relates to an offering of securities of a "blank check company,"... | |
| |
Notwithstanding the foregoing, the period during which a prospectus must be delivered by a dealer shall be: (1) As specified in section 4(3) of the Act if the registration statement was the subject of a stop order issued under section 8 of the Act; or... 
