Investment Trusts and Investment Companies, Hearings Before a Subcommittee of ..., 76:3 on S. 3580 .... |
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Página 5
... provision or provisions of this title or of any rule or regulation thereunder , if and to the extent that the Commission finds such exemption necessary or appropriate in the public interest and consistent with the protection of ...
... provision or provisions of this title or of any rule or regulation thereunder , if and to the extent that the Commission finds such exemption necessary or appropriate in the public interest and consistent with the protection of ...
Página 24
... provision of subsection ( a ) or ( b ) shall be construed to prohibit a statement that a person or security is registered under this Act , the Securities Act of 1933 , or the Securities Exchange Act of 1934 , if such statement is true ...
... provision of subsection ( a ) or ( b ) shall be construed to prohibit a statement that a person or security is registered under this Act , the Securities Act of 1933 , or the Securities Exchange Act of 1934 , if such statement is true ...
Página 26
... provisions of sections 23 , 26 , 27 , and 31 of the Public Utility Holding Company Act of 1935 are hereby incorporated in this title as though fully set forth herein . PENALTIES SEC . 43. Any person who willfully violates any provision ...
... provisions of sections 23 , 26 , 27 , and 31 of the Public Utility Holding Company Act of 1935 are hereby incorporated in this title as though fully set forth herein . PENALTIES SEC . 43. Any person who willfully violates any provision ...
Página 29
... provision makes specific reference thereto . SEPARABILITY OF PROVISIONS SEC . 46. If any provision of this title or any provision incorporated in this title by reference , or the application of any such provision to any person or circum ...
... provision makes specific reference thereto . SEPARABILITY OF PROVISIONS SEC . 46. If any provision of this title or any provision incorporated in this title by reference , or the application of any such provision to any person or circum ...
Página 48
... 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 relates to the transfer of the contracts which a client makes ...
... 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 relates to the transfer of the contracts which a client makes ...
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.