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. April 2, 3, 4, 5, 8, 9, and 10, 1940, Parte3U.S. Government Printing Office, 1940 - 1131 páginas |
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Página 64
... Senators . Senator DOWNEY . Then I would like to ask a question right there . About what time was this ? Senator HUGHES . I understood it was in 1937 . Senator DoWNEY . Was it in October ? Mr. Cook . From October of 1937 to the end of ...
... Senators . Senator DOWNEY . Then I would like to ask a question right there . About what time was this ? Senator HUGHES . I understood it was in 1937 . Senator DoWNEY . Was it in October ? Mr. Cook . From October of 1937 to the end of ...
Página 65
... Senator HUGHES . The court did find they had violated the law then . Senator Glass ' question was whether it was lawful or not . Mr. Cook . I had thought that the State action should result in conviction . The judge , after the jury ...
... Senator HUGHES . The court did find they had violated the law then . Senator Glass ' question was whether it was lawful or not . Mr. Cook . I had thought that the State action should result in conviction . The judge , after the jury ...
Página 87
... Senator TOWNSEND . The reason I am asking you the question now is this : I have to leave the room pretty soon to ... HUGHES . They did not actually sell those securities ? Mr. STERN . Yes ; they sold them . But that is another story also I ...
... Senator TOWNSEND . The reason I am asking you the question now is this : I have to leave the room pretty soon to ... HUGHES . They did not actually sell those securities ? Mr. STERN . Yes ; they sold them . But that is another story also I ...
Página 92
... Senator FRAZIER . Then it was just a bookkeeping profit ? Mr. SCHENKER . Yes . Instead of putting it on the books as ... HUGHES . Did the option take care of that ? Mr. STERN . There were several things there . Senator HUGHES . I take it ...
... Senator FRAZIER . Then it was just a bookkeeping profit ? Mr. SCHENKER . Yes . Instead of putting it on the books as ... HUGHES . Did the option take care of that ? Mr. STERN . There were several things there . Senator HUGHES . I take it ...
Página 119
... Senator HUGHES . I want to ask a question off the record . ( A discussion was had which , at the direction of Senator Hughes , was not recorded . ) Senator WAGNER ( chairman of the subcommittee ) . We will adjourn now until 10:30 ...
... Senator HUGHES . I want to ask a question off the record . ( A discussion was had which , at the direction of Senator Hughes , was not recorded . ) Senator WAGNER ( chairman of the subcommittee ) . We will adjourn now until 10:30 ...
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abuses affiliated person amount asset value bank believe bill board of directors bonds broker Byllesby capital certificate clients committee common stock contract dividends effect Exchange Commission existing face-amount certificate company fact firm Founders funds Goldman Sachs hearings holding company industry interest 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 problem profits prohibition provision purchase question registered investment company rules and regulations SCHENKER Securities Act Securities and Exchange security holders sell Senator HUGHES Senator TAFT Senator WAGNER chairman senior securities shareholders shares situation sold Standard stockholders subcommittee thing tion transactions underwriting unit investment trust voting trust York Stock Exchange
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Página 24 - Hearings may be public and may be held before the Commission, any member or members thereof, or any officer or officers of the Commission designated by it, and appropriate records thereof shall be kept.
Página 24 - System, notwithstanding that such rule or regulation may, after such act or omission, be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.
Página 32 - ... (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in...
Página 643 - director " means any director of a corporation or any person performing similar functions with respect to any organization, whether incorporated or unincorporated.
Página 109 - ... as to make it necessary or appropriate in the public interest or for the protection of investors or consumers that the applicant be subject to the obligations, duties, and liabilities imposed in this title upon subsidiary companies of holding companies.
Página 109 - Public-utility company" means an electric utility company or a gas utility company. (6) "Commission" means the Securities and Exchange Commission. (7) "Holding company" means— (A) any company which directly or indirectly owns, controls, or holds with power to vote...
Página 31 - ... (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, or investment adviser...
Página 25 - ... and any failure to obey such order of the court may be punished by such court as a contempt thereof. All process in any such case may be served in the judicial district whereof such person is an inhabitant or wherever he may be found.
Página 25 - Commissioner, on the ground that the testimony or evidence (documentary or otherwise) required of him may tend to incriminate him or subject him to a penalty or forfeiture...
Página 244 - No provision of this title imposing any liability shall apply to any act done or omitted in good faith in conformity with any rule, regulation, or...