 | United States. Congress. Senate. Committee on Banking and Currency - 1963 - 490 페이지
...companies.] (9) Any security exchanged by the issuer with its existing security holders exclusively where no commission or other remuneration is paid or given directly or indirectly for soliciting such exchange ; (10) Any security which is issued in exchange for one or more bona fide... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1963 - 550 페이지
...security of a person exchanged by It with Its existing security holders exclusively, where no com* mission or other remuneration Is paid or given directly or Indirectly In connection with such exchange ; or the Issuance of securities to tbe existing security holders or other existing creditors... | |
 | United States. Congress. House. Committee on the District of Columbia - 1964 - 174 페이지
...; or (8) any transaction effected with existing employees, partners, or directors of the issuer if no commission or other remuneration is paid or given, directly or indirectly, for soliciting any person in the District, (g) "Fraud," "deceit," and "defraud" shall not be limited... | |
 | United States. Congress. Senate. Committee on the District of Columbia - 1964 - 414 페이지
...; or (8) any transaction effected with existing employees, partners, or directors of the issuer if no commission or other remuneration is paid or given, directly or indirectly, for soliciting any person in the District. (g) "Fraud", "deceit", and "defraud" shall not be limited... | |
 | United States. Congress. Senate. District of Columbia - 1964 - 140 페이지
...investment ; 3a-278— 64 2 (6) any offer or sale of a preorganization certificate or subscription If (A) no commission or other remuneration is paid or given directly or indirectly for soliciting any prospective subscriber, and (B) the number of subscribers does not exceed twenty-five,... | |
 | United States. Congress. House. Committee on the District of Columbia - 1964 - 1598 페이지
...transactions, or (3) effecting transactions with existing employees, partners, or directors of the issuer if no commission or other remuneration is paid or given directly or indirectly for soliciting any person in the Distrct. A partner, officer, or director of a broker-dealer or issuer,... | |
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Any security exchanged by the issuer with its existing security holders exclusively where no commission or other remuneration is paid or given directly or indirectly for soliciting such exchange... 
