ONTOLOGY EXPLORER
principal underwriter
<https://spec.edmcouncil.org/fibo/ontology/FBC/FunctionalEntities/FinancialServicesEntities/PrincipalUnderwriter>
プロパティと値
| プロパティ | 値 |
|---|---|
| type | Class |
| label | "principal underwriter" |
| subClassOf | Underwriter |
| definition | "underwriter who, as principal, purchases from an investment company, or pursuant to some contract has the right to purchase from such company, any security for distribution, or who as agent for such company sells or has the right to sell any security to a dealer or to the public, excluding any dealer who purchases from such company through sn underwriter acting as an agent for such company" |
| adaptedFrom | "Section 3a of the Investment Company Act of 1940 as amended in January, 2012, https://www.sec.gov/about/laws/ica40.pdf" |
| explanatoryNote | "Principal underwriter of or for a closed-end company or any issuer which is not an investment company, or of any security issued by such a company or issuer, means any underwriter who, in connection with a primary distribution of securities, (a) is in privity of contract with the issuer or an affiliated person of the issuer; (b) acting alone or in concert with one or more other persons, initiates or directs the formation of an underwriting syndicate; or (c) is allowed a rate of gross commission, spread, or other profit greater than the rate allowed another underwriter participating in the distribution." |
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