Investment Trusts and Investment Companies, Hearings Before a Subcommittee of ..., 76:3 on S. 3580 .... |
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Página 9
... effect a short sale of any security , in contravention of such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors ; or ( 4 ) to act as a dealer in ...
... effect a short sale of any security , in contravention of such rules and regulations as the Commission may prescribe as necessary or appropriate in the public interest or for the protection of investors ; or ( 4 ) to act as a dealer in ...
Página 41
... effect upon the auditor's complete impartiality of the fact that he is usually both selected and paid by the ... effect of keeping constantly before the auditor the reali- zation that he acts principally for the stockholders and that in ...
... effect upon the auditor's complete impartiality of the fact that he is usually both selected and paid by the ... effect of keeping constantly before the auditor the reali- zation that he acts principally for the stockholders and that in ...
Página 70
... effect , you might say , to bet on the United States . He could not possibly afford to buy a share of stock of each of the numerous corporations that are dealt in on , say , the New York Stock Exchange board , but if an investment trust ...
... effect , you might say , to bet on the United States . He could not possibly afford to buy a share of stock of each of the numerous corporations that are dealt in on , say , the New York Stock Exchange board , but if an investment trust ...
Página 73
... effect finance its own purchases at its own expense , and in a year's time the securities of that investment trust had declined from $ 4,000,000 to about $ 300,000 in value . Senator WAGNER . Where did that money go ? Mr. FULTON . The ...
... effect finance its own purchases at its own expense , and in a year's time the securities of that investment trust had declined from $ 4,000,000 to about $ 300,000 in value . Senator WAGNER . Where did that money go ? Mr. FULTON . The ...
Página 113
... effect the nominee of these bankers ; McGowan , a close asso- ciate of Emanuel & Co. , was elected pursuant to the nomination of a $ 4 preferred stock committee which was under the influence of those bankers . 18 Mr. Cummins resigned as ...
... effect the nominee of these bankers ; McGowan , a close asso- ciate of Emanuel & Co. , was elected pursuant to the nomination of a $ 4 preferred stock committee which was under the influence of those bankers . 18 Mr. Cummins resigned as ...
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.