No officer, director, or employee of any corporation or unincorporated association, no partner or employee of any partnership, and no individual, primarily engaged in the issue, flotation, underwriting, public sale, or distribution, at wholesale or retail,... Bank holding company legislation and related issues: hearings before the ... - Page 696by United States. Congress. House. Committee on Banking, Finance, and Urban Affairs. Subcommittee on Financial Institutions Supervision, Regulation and Insurance - 1980Full view - About this book
| 1995 - 456 pages
...Federal Power Commission and not to the Board of Governors of the Federal Reserve System. §218.102 underwriting, public sale, or distribution, at wholesale...or retail, or through syndicate participation, of only such securities as national banks may lawfully underwrite and deal in pursuant to paragraph Seventh... | |
| 1996 - 474 pages
...addressed to the Federal Power Commission and not to the Board of Governors of the Federal Reserve System. underwriting, public sale, or distribution, at wholesale...or retail, or through syndicate participation, of only such securities as national banks may lawfully underwrite and deal in pursuant to paragraph Seventh... | |
| 1967 - 798 pages
...which are members of the Federal Reserve System and individuals or organizations "primarily engaged In the Issue, flotation, underwriting, public sale, or distribution, at wholesale or retall, or through syndicate participation, of stocks, bonds, or other similar securities •• •."... | |
| New York (State) - 1954 - 1226 pages
...association, or a partner or employee of any partnership, or be as an individual, engaged primarily in the issue, flotation, underwriting, public sale...through syndicate participation, of stocks, bonds or other similar securities, unless permission therefor has been granted by the banking board. The... | |
| United States Congress. House. Banking and Currency Committee - 1955 - 686 pages
...paragraphs (a), (b) and (c) of this subdivision with any corporation, association, business trust, or similar organization engaged principally in the issue,...stocks, bonds, debentures, notes or other securities. None of the provisions of this subdivision shall apply to any corporation all of the capital stock... | |
| United States. Congress. House. Committee on Banking and Currency - 1955 - 664 pages
...paragraphs (a), (b) and (c) of this subdivision with any corporation, association, business trust, or similar organization engaged principally in the issue,...stocks, bonds, debentures, notes or other securities. None of the provisions of this subdivision shall apply to any corporation all of the capital stock... | |
| United States Congress. House. Banking and Currency Committee - 1958 - 908 pages
...corporation, business trust, association, or other similar organization formed for the purpose of, or engaged principally in, the issue, flotation, underwriting, public sale, or distribution, at wholesale Mr retail or through syndicate participation, of stocks, bonds, debentures, notes, or other securities... | |
| New York (State) - 1960 - 1526 pages
...of any partnership or be as an individual, engaged primarily in the issue, flotation, iinderwriting, public sale or distribution, at wholesale or retail,...through syndicate participation, of stocks, bonds or other similar securities, unless permission therefor has been granted by the banking board. The... | |
| 1963 - 414 pages
...unincorporated association, any partner or employee of any partnership, or any individual, not engaged in the issue, flotation, underwriting, public sale,...distribution, at wholesale or retail, or through syndicate 1 Therefore, by its terms, section 32 does not apply — (a) To a person who is not an officer, director,... | |
| United States. Congress. House. Committee on the Judiciary - 1965 - 764 pages
...unincorporated association, no partner or employee of any partnership, and no Individual, primarily engaged In the Issue, flotation, underwriting, public sale,...through syndicate participation, of stocks, bonds, or other similar securities, shall serve the same time aa an officer, director, or employee of any... | |
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