Annual Report of the SEC.U.S. Government Printing Office |
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... investor study Reform of the Investment Company Act Sales charges Investment advisory fees The front - end load on contractual plans Fund holding companies Performance fee advisory contracts 115∞∞ 6 8 10 13 14 15 15 16 17 17 18 19 19 ...
... investor study Reform of the Investment Company Act Sales charges Investment advisory fees The front - end load on contractual plans Fund holding companies Performance fee advisory contracts 115∞∞ 6 8 10 13 14 15 15 16 17 17 18 19 19 ...
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... INVESTMENT COMPANIES Companies registered under the Act Investment company assets 141 142 145 Investment company filings , other than applications Developments with respect to particular types of investment companies 145 145 Investment ...
... INVESTMENT COMPANIES Companies registered under the Act Investment company assets 141 142 145 Investment company filings , other than applications Developments with respect to particular types of investment companies 145 145 Investment ...
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... INVESTMENT 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 ...
... INVESTMENT 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 ...
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... Investment Advisers Act of 1940 , are de- scribed below . INVESTMENT ADVISORY FEES The 1970 Act amends the Investment Company Act by adding a new Section 36 ( b ) ( effective June 14 , 1972 ) which specifies that the investment adviser ...
... Investment Advisers Act of 1940 , are de- scribed below . INVESTMENT ADVISORY FEES The 1970 Act amends the Investment Company Act by adding a new Section 36 ( b ) ( effective June 14 , 1972 ) which specifies that the investment adviser ...
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... COMPANIES Provisions of the Investment Company Act relating to fund holding companies ( i.e. , investment companies whose portfolios consist either entirely or largely of the securities of other invest- ment companies ) were also ...
... COMPANIES Provisions of the Investment Company Act relating to fund holding companies ( i.e. , investment companies whose portfolios consist either entirely or largely of the securities of other invest- ment companies ) were also ...
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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