...means of financing other corporations controlled by them, and had committed numerous violations of the Securities Act of 1933 and the Investment Company Act of 1940, the Commission's staff negotiated a settlement which provided, among other things, for a return of...

...November 7, 1972. §239.24 Form N-5, form for registration of small business investment company under the Securities Act of 1933 and the Investment Company Act of 1940. This form shall be used for registration under the Securities Act of 1933 of securities issued by any...

...development companies. 239.24 Form N-5, form for registration of small business investment company under the Securities Act of 1933 and the Investment Company Act of 1940. 239.25 Form S-4, for the registration of securities issued in business combination transactions. 239.26-239.27...

...development companies. 239.24 Form N-5. form for registration of small business Investment company under t of Agriculture (Parts 1800—2099) Office of Inspector General, 239.25 Form S-4, for the registration of se-curities Issued In business combination transactions. 239.26-239.30...

...content of certain advertising and sales literature which, in the opinion of the Commission, may violate the Securities Act of 1933 and the Investment Company Act of 1940. The Commission, therefore, deems it necessary and appropriate to set forth a Statement of Policy so...

...of the shares of open-end investment companies which are subject to the registration provisions of the Securities Act of 1933 and the Investment Company Act of 1940. Many other members of the association, in addition to their other securities business, do a substantial...

...of the shares of open-end investment companies which are subject to the registration provisions of the Securities Act of 1933 and the Investment Company Act of 1940. Many other members of the association, in addition to their other securities business, do a substantial...

...be carried out within a separate corporate affiliate", and thus be made subject to regulation under the Securities Act of 1933 and the Investment Company Act of 1940.* * See Statement of John SR Shad, Chairman of the Securities and Exchange Commission, Before the Senate...

...its capital. In this connection, I merely refer to the Federal securities laws, and particularly to the Securities Act of 1933, and the Investment Company Act of 1940, which were discussed by Mr. Gadsby, Chairman of the Securities and Exchange Commission. Form 415, the...

...such capital available or is it not ? Mr. BARNES. Title VII of the bill provides for exemption from the Securities Act of 1933 and the Investment Company Act of 1940, which I believe to be necessary for orderly administration. I would like to express my personal views...