Legal Question in Securities Law in New York
Investment Banker
Wha is the exact scope of section 2(21) of the Investment Company Act of 1940 that defines ''investment banker''?? Who does it exactly include and who does it exactly exclude?
Asked on 11/09/08, 12:13 am
1 Answer from Attorneys
Warren Markowitz
Warren R. Markowitz, Esq
Re: Investment Banker
The definition is clear, it states;
Investment banker" means any person engaged in the business of underwriting securities issued by other persons, but does not include an investment company, any person who acts as an underwriter in isolated transactions but not as a part of a regular business, or any person solely by reason of the fact that such person is an underwriter for one or more investment companies. "
If you have a specific issue, please repost the question.
Answered on 11/09/08, 7:36 pm
Related Questions & Answers
-
Unreliable attorneys How do I actually get an attorney to prioritize my case? Been... Asked 10/31/08, 10:19 pm in United States New York Securities Law
-
Authorization of shares to founders Is a board of directors resolution awarding x... Asked 10/29/08, 2:29 pm in United States New York Securities Law
-
SPAC targeting a different industry Is a SPAC able to target a company for a... Asked 8/18/08, 9:35 am in United States New York Securities Law
Looking for something else?
10,200 active attorneys ready to answer your legal questions today.
Featured Attorneys
Earn additional revenue and grow your business.
