Placement agent

Placement agent and underwriter each mean a person who has agreed with an issuer or selling security holder to:
(i) Purchase securities from the issuer or selling security holder for distribution;
(ii) Engage in a distribution for or on behalf of such issuer or selling security holder; or
(iii) Manage or supervise a distribution for or on behalf of such issuer or selling security holder.

Source

17 CFR § 230.192


Scoping language

None
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