Investment Company Act of 1940, as AmendedU.S. Government Printing Office, 1977 |
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Página 5
... acquire investment securities having a value exceeding 40 per centum of the value of such issuer's total assets ( ex- clusive of Government securities and cash items ) on an unconsolidated basis . As used in this section , " investment ...
... acquire investment securities having a value exceeding 40 per centum of the value of such issuer's total assets ( ex- clusive of Government securities and cash items ) on an unconsolidated basis . As used in this section , " investment ...
Página 8
... acquired after the end of the last preceding fiscal quarter , the cost thereof ; and ( B ) as used elsewhere in this title , ( i ) with respect to securities for which market quotations are readily available , the market value of such ...
... acquired after the end of the last preceding fiscal quarter , the cost thereof ; and ( B ) as used elsewhere in this title , ( i ) with respect to securities for which market quotations are readily available , the market value of such ...
Página 9
... acquire investment securities having a value exceeding 40 per centum of the value of such issuer's total assets ( ex- clusive of Government securities and cash items ) on an unconsolidated basis . As used in this section , " investment ...
... acquire investment securities having a value exceeding 40 per centum of the value of such issuer's total assets ( ex- clusive of Government securities and cash items ) on an unconsolidated basis . As used in this section , " investment ...
Página 10
... acquiring notes , drafts , acceptances , open ac- counts receivable , and other obligations repre- senting part or all of the sales price of mer- chandise , insurance , and services ; ( B ) making loans to manufacturers , wholesalers ...
... acquiring notes , drafts , acceptances , open ac- counts receivable , and other obligations repre- senting part or all of the sales price of mer- chandise , insurance , and services ; ( B ) making loans to manufacturers , wholesalers ...
Página 14
... acquire any assets or any product of any assets which have been segregated ( A ) from assets of any company which at the filing of such writing is an insured institution within the meaning of section 401 ( a ) of the National Housing ...
... acquire any assets or any product of any assets which have been segregated ( A ) from assets of any company which at the filing of such writing is an insured institution within the meaning of section 401 ( a ) of the National Housing ...
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Términos y frases comunes
84 Stat acquiring company affiliated person aggregate amended amount certificate application bank board of directors broker centum class of senior Commis contract corporate trustee court curities December 14 deemed depositor dividend effective date employee engaged exemption face-amount certificate company filed installment type interested person interstate commerce investment adviser issuer istered mails management company March 15 means ment adviser ment company necessary or appropriate net asset value officer outstanding securities outstanding voting securities pany paragraph payment or payments periodic payment plan principal underwriter protection of investors provisions public interest Public Law public offering purpose redeemable security regis registered company registered investment company registration statement regulations or orders reserve payments respect rities rules and regulations sales load section 28 secu Securities Act Securities Exchange Act securities issued security holders sell short-term paper suant subsection thereof tion transaction unit investment trust unlawful
Pasajes populares
Página 3 - Security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, pre-organization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, or, in general, any interest or instrument commonly known as a "security...
Página 6 - common trust fund" means a fund maintained by a bank (as defined in section 104) — (1) exclusively for the collective investment and reinvestment of moneys contributed thereto by the bank in its capacity as a trustee, executor, administrator, or guardian...
Página 82 - ... his abilities or qualifications have in any respect been passed upon by the United States or any agency or officer thereof.
Página 3 - underwriter" means any person who has purchased from an issuer with a view to, or offers or sells for an issuer in connection with, the distribution of any security, or participates or has a direct or indirect participation in any such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking...
Página 14 - ... or any rule or regulation thereunder or any undertaking contained in a registration statement as provided in subsection (d) of Section 15 of this title, which statement was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...
Página 5 - State or of the United States, a substantial portion of the business of which consists of receiving deposits or exercising fiduciary powers similar to those permitted to national banks under...
Página 3 - ... such undertaking, or participates or has a participation in the direct or indirect underwriting of any such undertaking; but such term shall not include a person whose interest is limited to a commission from an underwriter or dealer not in excess of the usual and customary distributor's or seller's commission. As used in this paragraph the term "issuer...
Página 77 - Every person who is directly or indirectly the beneficial owner of more than 10 per centum of any class of any equity security (other than an exempted security) which is registered on a national securities exchange, or who is a director or an officer of the issuer of such security...
Página 89 - Commission under authority thereof, or any person who willfully, in a registration statement filed under this title, makes any untrue statement of a material fact or omits to state any material fact required to be stated therein or necessary to make the statements therein not misleading, shall upon conviction be fined not more than $5,000 or imprisoned not more than five years, or both.
Página 58 - ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.