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 5
... rules and regulations hereunder , if and to the extent that it finds such exemption consistent with the protection of investors . In determining the provisions to which such an order of exemption shall apply , the Commission shall give ...
... rules and regulations hereunder , if and to the extent that it finds such exemption consistent with the protection of investors . In determining the provisions to which such an order of exemption shall apply , the Commission shall give ...
Página 6
... rules and regulations or order , an original and such copies of a registra- tion statement , in such form and containing such of the following information and documents , as the Commission shall by rules and regulations or order ...
... rules and regulations or order , an original and such copies of a registra- tion statement , in such form and containing such of the following information and documents , as the Commission shall by rules and regulations or order ...
Página 9
... rules and regulations or order ) ; ( 2 ) to participate on a joint or a joint and several basis in any trading account in securities ; ( 3 ) to effect a short sale of any security , in contravention of such rules and regulations as the ...
... rules and regulations or order ) ; ( 2 ) to participate on a joint or a joint and several basis in any trading account in securities ; ( 3 ) to effect a short sale of any security , in contravention of such rules and regulations as the ...
Página 13
... rules and regulations or order in the public interest or for the protection of investors- ( 1 ) that securities and other investments of a registered management in- vestment company be placed in the custody of an institution having the ...
... rules and regulations or order in the public interest or for the protection of investors- ( 1 ) that securities and other investments of a registered management in- vestment company be placed in the custody of an institution having the ...
Página 14
... rules and regulations prescribe , which ( A ) fully discloses the source or sources of such dividend , and ( B ) gives the recipient such reasonable opportunity to invest in securities of said company , without the payment of any sales ...
... rules and regulations prescribe , which ( A ) fully discloses the source or sources of such dividend , and ( B ) gives the recipient such reasonable opportunity to invest in securities of said company , without the payment of any sales ...
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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 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
Pasajes populares
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...