 | Philippines - 2001 - 286 페이지
...the Commission deems it necessary or desirable, of consolidated balance sheets or income accounts of any person directly or indirectly controlling or controlled...direct or indirect common control with, the issuer. SEC. 69. Effect on Existing Law. - The rights and remedies provided by this Code shall be in addition... | |
 | Jonathan M. Hoff, Lawrence A. Larose, Frank J. Scaturro - 2002 - 706 페이지
...in excess of the usual and customary distributors' or sellers' commission. As used in this paragraph the term 'issuer' shall include, in addition to an...direct or indirect common control with the issuer." 15 USC § 77b(ll). underwriter's counsel has three primary areas of responsibility: the registration... | |
 | Robert H. Rosenblum - 2003 - 980 페이지
...definition of underwriter also provides that, as used in the definition, the term "issuer" includes "in addition to an issuer, any person directly or...direct or indirect common control with the issuer." Id. 18. Section 10(f) of the 1940 Act, 15 USC S 80a-10(f), generally prohibits registered investment... | |
 | United States - 2003 - 962 페이지
...distributors' or sellers' commission As used in this paragraph the term "issuer" shall include, ir addition to an issuer, any person directly or indirectly...controlled by the issuer, or any person under direct 01 indirect common control with the issuer. (12) The term "dealer" means any person who engages ei... | |
 | Darrell R. Larsen - 2005 - 340 페이지
...commission." Id. Moreover, the term "issuer," as used in the definition of "underwriter," includes, "in addition to an issuer, any person directly or...direct or indirect common control with the issuer." Id. 34. Id. § 77d(l). 35. See HAZEN, supra note 21, at § 4.30. However, the US Court of Appeals for... | |
| |
As used in this paragraph the term "issuer" shall include, in addition to an issuer, any person directly or indirectly controlling or controlled by the issuer, or any person under direct or indirect common control with the issuer. 
