Investment Trusts and Investment Companies, Hearings Before a Subcommittee of ..., 76:3 on S. 3580 .... |
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Página 18
... funds of the trust are invested , all funds held for such investment , all equalization , redemption , and other special funds of the trust , and all income upon and accretions to such property and funds , and shall segregate and hold ...
... funds of the trust are invested , all funds held for such investment , all equalization , redemption , and other special funds of the trust , and all income upon and accretions to such property and funds , and shall segregate and hold ...
Página 31
... funds and accounts ; and ( E ) the basis or bases upon which such investment adviser , his or its partners ... funds or any portion of the funds of the client ; or ( 2 ) fails to provide , in substance , that no assignment of such ...
... funds and accounts ; and ( E ) the basis or bases upon which such investment adviser , his or its partners ... funds or any portion of the funds of the client ; or ( 2 ) fails to provide , in substance , that no assignment of such ...
Página 38
... funds without the necessity of substantial investment of their own funds , the charters of many of these companies have been so drawn to allow the insiders to deal as principal with these trusts and companies and contain the broadest ...
... funds without the necessity of substantial investment of their own funds , the charters of many of these companies have been so drawn to allow the insiders to deal as principal with these trusts and companies and contain the broadest ...
Página 48
... funds ? Aside from that fundamental approach , the only other provisions in that title are just a few broad general provisions which say that you cannot embezzle your client's funds or you cannot be guilty of fraud . One other provision ...
... funds ? Aside from that fundamental approach , the only other provisions in that title are just a few broad general provisions which say that you cannot embezzle your client's funds or you cannot be guilty of fraud . One other provision ...
Página 50
... funds . Now , it is true that substantial parts of these funds are funds of banks and insurance companies . However , if you will take a look at pages 8 and 9 of the report , you will see that with respect to 49 of these firms , as far ...
... funds . Now , it is true that substantial parts of these funds are funds of banks and insurance companies . However , if you will take a look at pages 8 and 9 of the report , you will see that with respect to 49 of these firms , as far ...
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.