Compilation of Releases, Commission Opinions, and Other Material Dealing with Matters Frequently Arising Under the Investment Company Act of 1940United States Securities and Exchange Commission, 1967 - 94 páginas |
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... filed with the Commission . The Investment Company Act of 1940 and all of the documents referred to in the prior para- graph are available for purchase from the Superintendent of Documents , United States Govern- ment Printing Office ...
... filed with the Commission . The Investment Company Act of 1940 and all of the documents referred to in the prior para- graph are available for purchase from the Superintendent of Documents , United States Govern- ment Printing Office ...
Página 5
... Exchange Act of 1934 , filed with us a proposed amendment to the Rules of Fair Practice of the Association . The proposed amendment consists of an addi- tional rule , RELEASES UNDER THE INVESTMENT COMPANY ACT OF 1940 པ་ 5.
... Exchange Act of 1934 , filed with us a proposed amendment to the Rules of Fair Practice of the Association . The proposed amendment consists of an addi- tional rule , RELEASES UNDER THE INVESTMENT COMPANY ACT OF 1940 པ་ 5.
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... filing of a copy thereof with the Commission , or upon such earlier date as the Commission may determine , unless the Commission shall enter an order disapproving such change or addition ; and the Commission shall enter such an order ...
... filing of a copy thereof with the Commission , or upon such earlier date as the Commission may determine , unless the Commission shall enter an order disapproving such change or addition ; and the Commission shall enter such an order ...
Página 14
... filing . Mr. Lane's letter , however , deals specifically and at some length with various types of selling literature which may have to be filed with the Commis- sion , such as prospectuses , reports to security holders , " tombstone ...
... filing . Mr. Lane's letter , however , deals specifically and at some length with various types of selling literature which may have to be filed with the Commis- sion , such as prospectuses , reports to security holders , " tombstone ...
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... filed with the Commission or are filed with the Commission within 10 days thereafter : ( 1 ) any registered open - end company ; ( 2 ) any registered unit investment trust ; or ( 3 ) any registered face - amount certifi- cate company ...
... filed with the Commission or are filed with the Commission within 10 days thereafter : ( 1 ) any registered open - end company ; ( 2 ) any registered unit investment trust ; or ( 3 ) any registered face - amount certifi- cate company ...
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Términos y frases comunes
accepted in shares accumulated shares affiliated person amount application asset value bank bond business investment company capital gains distributions chart or table collective investment funds Company Act Release company's cumulative curities dealer December 31 directors dividend reinvestment plan dividends reinvested employees Exchange Commission fidelity bond filed folio company Gains Distributions Accepted investment adviser Investment Company Act issuer ment Company Act net asset value opinion pany paragraph payment percent period permit principal underwriter prohibited prospectus protection of investors provisions of Section public interest public offering price purchase purposes pursuant to Section redeemable securities redemption regis registered investment company registration statement sales charge sales literature sales load SBIC Section 17 Section 24 Section 6(c Securities Act Securities and Exchange securities issued shareholders sion small business investment Statement of Policy stockholders suant subparagraph thereof tion transaction unit investment trust vestment company voting securities