Small Business Investment Incentive Act: Hearings Before the Subcommittee on Consumer Protection and Finance of the Committee on Interstate and Foreign Commerce, House of Representatives, Ninety-sixth Congress, First Session, on H.R. 3991 ... November 7 and 8, 1979U.S. Government Printing Office, 1980 - 487 páginas Barney the dog faces dognappers, a whip, and a coal-black panther that invades Farmer John's place. |
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Página 40
... kind of investment company , could qualify for exemption under section 6 since such funds often invest in Treasury bills , certificates of deposit , and commercial paper which can be , and often is , pur- chased directly from the issuer ...
... kind of investment company , could qualify for exemption under section 6 since such funds often invest in Treasury bills , certificates of deposit , and commercial paper which can be , and often is , pur- chased directly from the issuer ...
Página 67
... kind of person , it is frequently alleged to us , whose his activities are largely those of an investor , and he is not really interested in operating any companies at all . The point Commissioner Loomis is making , since we are talking ...
... kind of person , it is frequently alleged to us , whose his activities are largely those of an investor , and he is not really interested in operating any companies at all . The point Commissioner Loomis is making , since we are talking ...
Página 76
... kind of venture capital companies you are granting them to , and that is why we are more disposed to provide exemptions for venture capi- tal companies where their shareholders are sophisticated investors and substantial investors . Mr ...
... kind of venture capital companies you are granting them to , and that is why we are more disposed to provide exemptions for venture capi- tal companies where their shareholders are sophisticated investors and substantial investors . Mr ...
Página 79
... kind of entity that he is addressing is a company that would be a closed - in fund , one that is not making a public offering but is managing the proceeds and is managed by internal management . It's not clear that the Advisers Act ...
... kind of entity that he is addressing is a company that would be a closed - in fund , one that is not making a public offering but is managing the proceeds and is managed by internal management . It's not clear that the Advisers Act ...
Página 80
... kind of ex parte contact . One of the major disappointments that we have experienced with the Advisers Act rule , and Mr. Mendelsohn can speak more direct- ly to this , is that most of the comments we received were of such a generalized ...
... kind of ex parte contact . One of the major disappointments that we have experienced with the Advisers Act rule , and Mr. Mendelsohn can speak more direct- ly to this , is that most of the comments we received were of such a generalized ...
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Términos y frases comunes
accredited investor Advisers Act affiliated person Amdahl application assets bill BROYHILL business development company Business Investment Companies Capital Corp capital formation Chairman Citibank Commission's Committee common stock company's CONGRESS THE LIBRARY counsel currently definition disclosure disinterested directors engaged equity Exchange Commission Federal Express federal securities laws Fujitsu furnishing capital Garrett hearings Heizer Corporation initial Investment Advisers Investment Company Act investor protection issuer legislation LIBRARY OF CONGRESS limited liquidity LOOMIS Lybecker Mendelsohn ment Company mutual funds officers Omex operate OPPER panies portfolio companies private offering problem prohibited public offering purchasing securities pursuant Ralston Purina Ray Garrett registered investment company regulation resale restricted securities rulemaking SBIC financing SBIC's Section 17 Section 4(2 Securities Act Securities and Exchange sell shareholders shares Small Business Investment staff Subcommittee substantial tion transaction underwriter venture capital companies venture capital firms venture capital industry voting securities WALLISON
Pasajes populares
Página 344 - ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.
Página 93 - Commission may, in its discretion, make such investigations as it deems necessary to determine whether any person has violated or is about to violate...
Página 91 - ... (1) any person who within ten years has been convicted of any felony or misdemeanor involving the purchase or sale of any security or arising out "of such person's conduct as an underwriter, broker, dealer...
Página 343 - ... (2) Any issuer which the Commission, upon application by such issuer, finds and by order declares to be primarily engaged in a business or businesses other than that of investing, reinvesting, owning, holding, or trading in securities either directly or (A) through majority-owned subsidiaries or (B) through controlled companies conducting similar types of businesses.
Página 372 - Commission shall grant such application and issue such order of exemption if evidence establishes that — (1) the terms of the proposed transaction, including the consideration to be paid or received, are reasonable and fair and do not involve overreaching on the part of any person concerned...
Página 365 - ... acting as principal to effect any transaction in which such registered company, or a company controlled by such registered company, is a joint or a joint and several participant with such person, principal underwriter, or affiliated person, in contravention of such rules and regulations as the Commission may prescribe for the purpose of limiting or preventing participation by such registered or controlled company on a basis different from or less advantageous than that of such other participant.
Página 355 - ... (3) to borrow money or other property from such registered company or from any company controlled by such registered company (unless the borrower is controlled by the lender) except as permitted in section 21 (b).
Página 342 - ... engage in the business of investing, reinvesting, owning, holding, or trading in securities, and owns or proposes to acquire investment securities having a value exceeding 40 per centum of the value of such issuer's total assets (exclusive of Government securities and cash items) on an unconsolidated basis. As used in this section, "investment securities" includes all securities except (A) Government securities, (B) securities issued by employees' securities companies, and (C) securities issued...
Página 354 - ... (1) knowingly to sell any security or other property to such registered company or to any company controlled by such registered company...
Página 342 - investment company" means any issuer which — (1) is or holds itself out as being engaged primarily, or proposes to engage primarily, in the business of investing, reinvesting, or trading in securities; (2) is engaged or proposes to engage in the business of issuing face-amount certificates of the installment type, or has been engaged in such business and has any such...