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 4
... underwriter therefor , to a resident of any State other than the State in which such company is organized . ( 3 ) Any company for which , in a proceeding in any court of the United States or of a State , a receiver , trustee in ...
... underwriter therefor , to a resident of any State other than the State in which such company is organized . ( 3 ) Any company for which , in a proceeding in any court of the United States or of a State , a receiver , trustee in ...
Página 5
... underwriter for a unit investment trust , unless such trust is exempted from the provisions of this subsection pursuant to section 6 or effectively registered under section 8 , shall directly or indirectly- ( 1 ) offer for sale , sell ...
... underwriter for a unit investment trust , unless such trust is exempted from the provisions of this subsection pursuant to section 6 or effectively registered under section 8 , shall directly or indirectly- ( 1 ) offer for sale , sell ...
Página 6
... underwriter for such a promoter , shall make use of the mails or any means or instrumentality of interstate commerce directly or indirectly , to offer for sale , sell , or deliver after sale , in connection with a public offering , any ...
... underwriter for such a promoter , shall make use of the mails or any means or instrumentality of interstate commerce directly or indirectly , to offer for sale , sell , or deliver after sale , in connection with a public offering , any ...
Página 7
... underwriter for a registered open - end management invest- ment company , registered unit investment trust , or registered face - amount certificate company ; or ( 4 ) as a distributor who makes use of the mails or any means or instru ...
... underwriter for a registered open - end management invest- ment company , registered unit investment trust , or registered face - amount certificate company ; or ( 4 ) as a distributor who makes use of the mails or any means or instru ...
Página 8
... underwriter therefor ; or ( 5 ) any affiliated person of any of the foregoing . No provision of this subsection shall be construed to prohibit a person from serving or acting as investment officer , manager , broker , or principal ...
... underwriter therefor ; or ( 5 ) any affiliated person of any of the foregoing . No provision of this subsection shall be construed to prohibit a person from serving or acting as investment officer , manager , broker , or principal ...
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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...