Investment Trusts and Investment Companies, Hearings Before a Subcommittee of ..., 76:3 on S. 3580 .... |
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Página 1
... record at this point . ( S. 3580 is printed in full , as follows :) [ S. 3580 , 76th Cong . , 3d sess . ] A BILL To provide for the registration and regulation of investment companies and investment advisers , and for other purposes Be ...
... record at this point . ( S. 3580 is printed in full , as follows :) [ S. 3580 , 76th Cong . , 3d sess . ] A BILL To provide for the registration and regulation of investment companies and investment advisers , and for other purposes Be ...
Página 2
... record and reports of the Securities and Exchange Commission made pursuant to section 30 of the Public Utility Holding Company Act of 1935 , and facts otherwise disclosed and ascer- tained , it is hereby declared that the national ...
... record and reports of the Securities and Exchange Commission made pursuant to section 30 of the Public Utility Holding Company Act of 1935 , and facts otherwise disclosed and ascer- tained , it is hereby declared that the national ...
Página 22
... records as the Commission may prescribe by rules and regulations or order as necessary or appropriate in the public interest , for the protection of investors or for the enforcement of this title . ( b ) All accounts , cost - accounting ...
... records as the Commission may prescribe by rules and regulations or order as necessary or appropriate in the public interest , for the protection of investors or for the enforcement of this title . ( b ) All accounts , cost - accounting ...
Página 23
... RECORDS SEC . 34. ( a ) It shall be unlawful for any person , except as permitted by rule , regulation , or order of the ... record , or other document filed , transmitted , or kept pursuant to this title . It shall be unlawful for any ...
... RECORDS SEC . 34. ( a ) It shall be unlawful for any person , except as permitted by rule , regulation , or order of the ... record , or other document filed , transmitted , or kept pursuant to this title . It shall be unlawful for any ...
Página 25
... records which are relevant or material to the in- quiry . Such attendance of witnesses and the production of any such records may be required from any place in any State or in any Territory or other place subject to the jurisdiction of ...
... records which are relevant or material to the in- quiry . Such attendance of witnesses and the production of any such records may be required from any place in any State or in any Territory or other place subject to the jurisdiction of ...
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.