Investment Trusts and Investment Companies, Hearings Before a Subcommittee of ..., 76:3 on S. 3580 .... |
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Página 3
... certificate company " means an investment company which is engaged in the business of issuing face - amount certificates , or which has been engaged in such business and has any such certificate outstanding . ( 2 ) " Unit investment ...
... certificate company " means an investment company which is engaged in the business of issuing face - amount certificates , or which has been engaged in such business and has any such certificate outstanding . ( 2 ) " Unit investment ...
Página 5
... certificates . ( b ) Upon application by any employees ' securities company , the Commission shall be order exempt such ... certificate company , unless exempted from the provisions of this subsection pursuant to section 6 or effectively ...
... certificates . ( b ) Upon application by any employees ' securities company , the Commission shall be order exempt such ... certificate company , unless exempted from the provisions of this subsection pursuant to section 6 or effectively ...
Página 6
... certificate or subscription for such a company . ( d ) No investment company , unless organized under the laws of the United States or of a State , and no underwriter for a company otherwise organized , shall make use of the mails or ...
... certificate or subscription for such a company . ( d ) No investment company , unless organized under the laws of the United States or of a State , and no underwriter for a company otherwise organized , shall make use of the mails or ...
Página 7
... certificate company ; or ( 4 ) as a distributor who makes use of the mails or any means or instru- mentality of interstate commerce to engage in the business of selling periodic payment plan certificates , or as a salesman for such a ...
... certificate company ; or ( 4 ) as a distributor who makes use of the mails or any means or instru- mentality of interstate commerce to engage in the business of selling periodic payment plan certificates , or as a salesman for such a ...
Página 9
... certificate company ) shall issue any security ( other than short - term paper ) representing an interest in or claim against only a class of the issuer's assets , unless such class of assets was created , and securities representing ...
... certificate company ) shall issue any security ( other than short - term paper ) representing an interest in or claim against only a class of the issuer's assets , unless such class of assets was created , and securities representing ...
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 hearings 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
Pasajes populares
Página 242 - Commission, 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 22 - Commission may investigate any facts, conditions, practices, or matters which it may find necessary or proper in order to determine whether any person has violated or is about to violate...
Página 22 - 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 23 - Act, he may make application to the appropriate court for an order enjoining such acts or practices, or for an order enforcing compliance with such provision, and upon a showing by the President that such person has engaged or is about to engage in any such acts or practices a permanent or temporary injunction, restraining order, or other order shall be granted without bond.
Página 30 - ... (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 107 - ... 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 174 - SEC. 326. Except as otherwise expressly provided, nothing in this title shall affect (1) the jurisdiction of the Commission under the Securities Act of 1933, or the Securities Exchange Act of 1934, or...
Página 107 - 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 29 - ... (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 23 - ... 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.