 | United States. Securities and Exchange Commission - 1945 - 1290 Seiten
...Section 5 (a) provides : Unless a registration statement is In effect as to a security, It shall be unlawful for any person, directly or indirectly — (1) to make use of nny means or instruments of transportation or communication in Interstate commerce or of the mails... | |
 | United States. Congress. Senate. Committee on Finance - 1939 - 1104 Seiten
...any security which is not registered under the Securities Act of 1933, but which has been or is to be issued under an indenture as to which an application...is effective, it shall be unlawful for any person, directly or indirectly — Opportunity for hearing. 48 Slat. 79. 16 U. 8.0.8 77h. Prospectus relating... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1937 - 580 Seiten
...enactment of this section, it shall be unlawful for any protective committee, directly or indirectly, to make use of any means or instruments of transportation...communication in interstate commerce or of the mails in order to solicit a protective committee agreement or any amendment thereto, or in order to solicit... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1937 - 580 Seiten
...enactment of this section, it shall be unlawful for any protective committee, directly or indirectly, to make use of any means or instruments of transportation...communication in interstate commerce or of the mails in order to solicit a protective committee agreement or any amendment thereto, or in order to solicit... | |
 | United States. Congress. House. Committee on the Judiciary - 1937 - 226 Seiten
...enactment of this section, it shall be unlawful for any protective committee, directly or indirectly, to make use of any means or instruments of transportation...communication in interstate commerce or of the mails in order to solicit a protective committee agreement or any amendment thereto, or in order to solicit... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1937 - 244 Seiten
...of subsection (a) of this section shall become effective unless such security has been or is to be issued under an indenture as to which an application for qualification is effective. APPLICATIONS FOR QUALIFICATION AND THE TAKING EFFECT THEREOF SEC. 5. (a) An application for qualification... | |
 | United States. Securities and Exchange Commission - 1957 - 1194 Seiten
...Securities Act provides: "Unless a registration statement is in effect as to a security, it shall be unlawful for any person, directly or indirectly —...communication in interstate commerce or of the mails to sell or offer to buy such security through the use or medium of any prospectus or otherwise; or "(2) to... | |
 | United States. Securities and Exchange Commission - 1953 - 824 Seiten
...Securities Act provides : Unless a registration statement Is In effect as to a security, It shall be unlawful for any person, directly or Indirectly —...or communication In Interstate commerce or of the malls to sell or offer to buy such security through the use or medium of any prospectus or otherwise... | |
 | United States. Securities and Exchange Commission - 1956 - 1106 Seiten
..."Section 6 (a) provides: "(a) Unless a registration statement is in effect as to a security, it shall be unlawful for any person, directly or indirectly —...or communication In interstate commerce or of the malls to sell or offer to buy such security through the use or medium of any prospectus or otherwise;... | |
 | United States. Securities and Exchange Commission - 1952 - 920 Seiten
..."Section 5 (a) provides: Unless a registration statement is in effect as to a security, it shall be unlawful for any person, directly or indirectly —...or communication in interstate commerce or of the malls to sell or offer to buy such security through the use or medium of any prospectus or otherwise;... | |
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Any person who— (1) offers or sells a security in violation of section 5, or (2) offers or sells a security (whether or not exempted by the provisions of section 3, other than paragraph (2) of subsection (a) thereof), by the use of any means or instruments... 
