Annual Report of the SEC.U.S. Government Printing Office |
Dentro del libro
Resultados 1-5 de 99
Página
... Company Act of 1935 ; Section 46 ( a ) of the Investment Company Act of 1940 ; Section 216 of the In- vestment Advisers Act of 1940 ; Section 3 of the Act of June 29 , 1949 , amending the Bretton Woods Agreement Act ; Section 11 ( b ) ...
... Company Act of 1935 ; Section 46 ( a ) of the Investment Company Act of 1940 ; Section 216 of the In- vestment Advisers Act of 1940 ; Section 3 of the Act of June 29 , 1949 , amending the Bretton Woods Agreement Act ; Section 11 ( b ) ...
Página
... Company Act Sales charges Investment advisory fees The front - end load on contractual plans Fund holding companies ... Company Act amendments Explanatory releases Adoption of rules under amended Section 27 Revision of annual report form ...
... Company Act Sales charges Investment advisory fees The front - end load on contractual plans Fund holding companies ... Company Act amendments Explanatory releases Adoption of rules under amended Section 27 Revision of annual report form ...
Página
... Act of 1933 - fiscal years 1935–1971 Table 2. Registrations effective under the Securities Act of 1933 , fiscal year ... Company Act of 1935 , the Investment Company Act of 1940 , and the Investment Advisers Act of 1940 225 Table 11. A ...
... Act of 1933 - fiscal years 1935–1971 Table 2. Registrations effective under the Securities Act of 1933 , fiscal year ... Company Act of 1935 , the Investment Company Act of 1940 , and the Investment Advisers Act of 1940 225 Table 11. A ...
Página 13
... COMPANY ACT Efforts to obtain much - needed reform of the Investment Com- pany Act of 1940 were finally brought to a successful conclusion on December 14 , 1970 when the Investment Company Amend- ments Act of 1970 18 ( 1970 Act ) became law ...
... COMPANY ACT Efforts to obtain much - needed reform of the Investment Com- pany Act of 1940 were finally brought to a successful conclusion on December 14 , 1970 when the Investment Company Amend- ments Act of 1970 18 ( 1970 Act ) became law ...
Página 14
... Company Act had been substantially eliminated . However , the dramatic growth of the industry and accompanying ... Act of 1940 , are de- scribed below . INVESTMENT ADVISORY FEES The 1970 Act amends the Investment Company Act by adding a ...
... Company Act had been substantially eliminated . However , the dramatic growth of the industry and accompanying ... Act of 1940 , are de- scribed below . INVESTMENT ADVISORY FEES The 1970 Act amends the Investment Company Act by adding a ...
Otras ediciones - Ver todas
Términos y frases comunes
36th Annual Report accounting action adopted alleged amended American Stock Exchange amicus curiae amount antifraud application assets Association Bank broker or dealer broker-dealers brokerage capital cash Commis Commission Commission's common stock Company Act Release Corporation Court of Appeals creditors customers debtor defendants directors disclosure distribution district court dollar effective enforcement Exchange Act Release exemption Federal securities laws filed fiscal Holding Company injunction instituted interest investment adviser Investment Company Act investors involved issued issuer June 30 listed million mission mutual fund NASD NASDAQ national securities exchange NYSE Office operations over-the-counter pany pending percent persons principal proceedings proposed proxy purchase registered investment registration statement Regulation reorganization rules Securities Act Release Securities Exchange Act security holders self-regulatory shareholders sion staff stockholders subsidiary suspended tion Total trading transactions trustee underwriter unit investment trusts violations York Stock Exchange