Investment Trusts and Investment Companies, Hearings Before a Subcommittee of ..., 76:3 on S. 3580 .... |
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Resultados 1-5 de 100
Página 9
... practices of the company concerned , the history and practices of any promoter concerned , the history and practices of the investment companies with which such promoter has been associated , and the possibility that the granting of ...
... practices of the company concerned , the history and practices of any promoter concerned , the history and practices of the investment companies with which such promoter has been associated , and the possibility that the granting of ...
Página 25
... practices and to enforce compliance with this title or any rule , regula- tion , or order hereunder . Upon a showing that such person has engaged or is about to engage in any such act or practice , a permanent or temporary injunction or ...
... practices and to enforce compliance with this title or any rule , regula- tion , or order hereunder . Upon a showing that such person has engaged or is about to engage in any such act or practice , a permanent or temporary injunction or ...
Página 31
... practice of such investment adviser or affiliated person as an investment adviser , underwriter , broker , or dealer , or as an affiliated person or employee of any investment company , bank , or insurance com- pany ; ( 2 ) at the time ...
... practice of such investment adviser or affiliated person as an investment adviser , underwriter , broker , or dealer , or as an affiliated person or employee of any investment company , bank , or insurance com- pany ; ( 2 ) at the time ...
Página 32
... practice , or course of business which operates or would operate as a fraud or deceit upon any client or prospective client ; ( 3 ) acting as principal , knowingly to sell any security to or purchase any security from any client ...
... practice , or course of business which operates or would operate as a fraud or deceit upon any client or prospective client ; ( 3 ) acting as principal , knowingly to sell any security to or purchase any security from any client ...
Página 90
... practice which became a central fact in the Founders ' history , the creation of new companies and the manipulation of their securities . And this I think is the thing that ultimately caused the downfall of the company . They found that ...
... practice which became a central fact in the Founders ' history , the creation of new companies and the manipulation of their securities . And this I think is the thing that ultimately caused the downfall of the company . They found that ...
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.