Investor Protection: Hearings Before a Subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-eighth Congress, First[- Second] Session, on H. R. 6789, H. R. 6793, S. 1642...April 3; November 19, 20, 21, 1963U.S. Government Printing Office, 1964 - 1418 páginas |
Dentro del libro
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Página 301
... investment companies started in Massachusetts , stemming out of investment counsel firms which had decided that small investors could not be taken care of privately by regular investment counsel activity . Therefore , they decided to ...
... investment companies started in Massachusetts , stemming out of investment counsel firms which had decided that small investors could not be taken care of privately by regular investment counsel activity . Therefore , they decided to ...
Página 1405
... investment company registered under the Investment Company Act of 1940 or an investment adviser of such company , or with respect to standards of qualifications for personnel of such investment company or investment adviser . The ...
... investment company registered under the Investment Company Act of 1940 or an investment adviser of such company , or with respect to standards of qualifications for personnel of such investment company or investment adviser . The ...
Página 1406
... investment company by an investment adviser which is a separate corporation or partnership . In the case of an investment company organized as a trust , investment advisory services may be performed by the trustees of the trust . Most ...
... investment company by an investment adviser which is a separate corporation or partnership . In the case of an investment company organized as a trust , investment advisory services may be performed by the trustees of the trust . Most ...
Contenido
Hearings held on Page 883 9383 2 NE BERT | 2 |
Communications submitted for the recordContinued | 5 |
Text | 43 |
Derechos de autor | |
Otras 9 secciones no mostradas
Términos y frases comunes
87th Congress activities additional amended American Stock Exchange appropriate approval assets authority banks basis bill Board of Governors broker or dealer broker-dealers capital CARY Chairman commerce Commission's committee Congress corporation customers directors disclosure effective employees Exchange Commission Exchange's exemption Federal filed funds HARRIS insider trading insurance companies intrastate Investment Company issuer issues jurisdiction legislation listing application member firms member organizations membership ment mutual fund NASD national securities exchange NYSE OREN HARRIS over-the-counter market percent person associated practices procedures proposed protection of investors proxy proxy statement public interest pursuant quotations registered securities association registration statement regulation regulatory respect responsibility rules section 12 Securities Act Securities and Exchange securities business Securities Exchange Act securities markets self-regulation self-regulatory agencies selling shareholders shares short selling solicitation specialist specific staff STAGGERS standards stockholders suspend tion transactions violation York Stock Exchange