 | United States. Congress. Senate. Committee on Banking and Currency - 1963 - 490 Seiten
...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 Seiten
...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. Senate. District of Columbia - 1964 - 140 Seiten
...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. Senate. Committee on the District of Columbia - 1964 - 414 Seiten
...; 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. House. Committee on the District of Columbia - 1964 - 1598 Seiten
...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,... | |
 | United States. Congress. House. Committee on the District of Columbia - 1964 - 174 Seiten
...; 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... | |
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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... 
