Investment Trusts and Investment Companies: Hearings Before a Subcommittee of the Committee on Banking and Currency, United States Senate, Seventy-sixth Congress, Third Session, on S. 3580, a Bill to Provide for the Registration and Regulation of Investment Companies and Investment Advisers, and for Other Purposes, Partes1-4U.S. Government Printing Office, 1940 |
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Página 3
... company shall exempt the appli- cant from all provisions of this title for a ... company excepted from the definition of investment company by paragraph ( 1 ) ... face - amount certificate company , substantially all the intangible assets ...
... company shall exempt the appli- cant from all provisions of this title for a ... company excepted from the definition of investment company by paragraph ( 1 ) ... face - amount certificate company , substantially all the intangible assets ...
Página 5
... company's business remains subject to the supervision of such court or officer thereof , and ( B ) such company does ... face - amount certificate company , unless exempted from the provisions of this subsection pursuant to section 6 or ...
... company's business remains subject to the supervision of such court or officer thereof , and ( B ) such company does ... face - amount certificate company , unless exempted from the provisions of this subsection pursuant to section 6 or ...
Página 7
... company or registered face - amount certificate company ; ( 2 ) as depositor , manager , or investment adviser of or for a registered unit investment trust ; ( 3 ) as principal underwriter for a registered open - end management invest- ment ...
... company or registered face - amount certificate company ; ( 2 ) as depositor , manager , or investment adviser of or for a registered unit investment trust ; ( 3 ) as principal underwriter for a registered open - end management invest- ment ...
Página 9
... company shall purchase or otherwise acquire any security a principal underwriter of which is a director , officer , or manager of such company ... face - amount certificate company ) shall issue any security ( other than short - term paper ) ...
... company shall purchase or otherwise acquire any security a principal underwriter of which is a director , officer , or manager of such company ... face - amount certificate company ) shall issue any security ( other than short - term paper ) ...
Página 10
... company is a diversified investment company or a unit invest- ment trust , $ 150,000,000 ; ( 2 ) if such company is a securities trading or securities finance company , $ 75,000,000 ; ( 3 ) if such company is a face - amount certificate ...
... company is a diversified investment company or a unit invest- ment trust , $ 150,000,000 ; ( 2 ) if such company is a securities trading or securities finance company , $ 75,000,000 ; ( 3 ) if such company is a face - amount certificate ...
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Términos y frases comunes
abuses affiliated person amount asset value bank believe bill board of directors bonds broker Byllesby capital certificate clients committee common stock contract diversified investment company dividends Exchange Commission face-amount certificate company fact firm Founders funds holding company industry investment adviser investment banker investment counsel investment trust issue issuer Judge Healy legislation Massachusetts Investors Trust matter ment company officers open-end companies operation organized outstanding panies percent portfolio practice preferred stock present president profits prohibition provision purchase question registered investment company rules and regulations SCHENKER Securities Act Securities and Exchange securities finance security holders sell Senator HUGHES Senator TAFT Senator WAGNER chairman senior securities shareholders shares situation sold Standard stockholders subcommittee thing tion transactions type of company underwriter unit investment trust voting trust York Stock Exchange