 | United States. Securities and Exchange Commission - 502 páginas
...Commission may provide upon application or on its own motion in a particular case. (e) Nothing in this rule shall affect the obligation to deliver a prospectus...securities by the issuer or by or through an underwriter. The Commission acting pursuant to Sections 4(3) and 19(a) of the Securities Act of 1933 hereby adopts... | |
 | United States - 1981 - 548 páginas
...which a stop order issued tinder section 8 is in effect as to the security), and except transactions as to securities constituting the whole or a part...securities by the issuer or by or through an underwriter." SBC. 7. Section 5 of the Securities Act of 1933 is amended to read as follows : "PROHIBITIONS RELATING... | |
 | 1980 - 1072 páginas
...own motion in a particular case. (e) Nothing in this section shall affect the obligation to deUver a prospectus pursuant to the provisions of section...securities by the issuer or by or through an underwriter. (15UJB.C. 77d> [35 PR 18457. Dec. 4. 1970] §230.175 Liability for forward-looking statements by issuers.... | |
 | United States, United States. Congress. House. Committee on Energy and Commerce - 1985 - 510 páginas
...shorter period as the Commission may specify by rules and regulations or order, and (C) transactions as to securities constituting the whole or a part...such securities by the issuer or by or through an underwriter.15 With respect to transactions referred to in clause (B), if securities of the issuer... | |
 | United States - 1988 - 560 páginas
...shorter period as the Commission may specify by rules and regulations or order, and (C) transactions as to securities constituting the whole or a part...securities by the issuer or by or through an underwriter. 1 5 With respect to transactions referred to in clause (B), if securities of the issuer have not previously... | |
 | United States, United States. Congress. House. Committee on Energy and Commerce - 1991 - 636 páginas
...shorter period as the Commission may specify by rules and regulations or order, and (O transactions as to securities constituting the whole or a part...such securities by the issuer or by or through an underwriter.15 With respect to transactions referred to in clause (B), if securities of the issuer... | |
 | United States - 1987 - 556 páginas
...shorter period as the Commission may specify by rules and regulations or order, and (C) transactions as to securities constituting the whole or a part...such securities by the issuer or by or through an underwriter.15 With respect to transactions referred to in clause (B), if securities of the issuer... | |
 | United States - 1999 - 740 páginas
...shorter period as the Commission may specify by rules and regulations or order, and (C) transactions as to securities constituting the whole or a part...securities by the issuer or by or through an underwriter. With respect to transactions referred to in clause (B), if securities of the issuer have not previously... | |
 | United States - 1999 - 882 páginas
...shorter period as the Commission may specify by rules and regulations or order, and (C) transactions as to securities constituting the whole or a part...securities by the issuer or by or through an underwriter. With respect to transactions referred to in clause (B), if securities of the issuer have not previously... | |
 | Patrick D. Dolan, C. VanLeer Davis - 2000 - 1220 páginas
...shorter period as the Commission may specify by rules and regulations or order, and (C) transactions as to securities constituting the whole or a part...securities by the issuer or by or through an underwriter. With respect to transactions referred to in clause (B), if securities of the issuer have not previously... | |
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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... 
