 It shall be unlawful for any affiliated person or promoter of or principal underwriter for a registered investment company (other than a company of the character described in section 12(d) (3) (A) and (B)), or any affiliated person of such a person, promoter,...  Decisions and Reports - Página 192por United States. Securities and Exchange Commission - 1953Vista completa - Acerca de este libro
 | United States. Small Business Administration - 1969 - 482 páginas
...exemptions issued under said regulations. Section 17 (a) makes unlawful certain transactions where an affiliated person or promoter of, or principal underwriter for, a registered investment company, or affiliated person of such person, promoter, or principal underwriter, acting as principal borrows... | |
 | United States. Securities and Exchange Commission - 1953 - 1172 páginas
...involve overreaching on the part of any person concerned ; Section 17 (a) of the Act provides, In part : It shall be unlawful for any affiliated person or...company of the character described In section 12 (d) (8) (A) and (B)), or any affiliated person of «nch a person, promoter, or principal underwriter, acting... | |
 | United States. Securities and Exchange Commission - 1953 - 824 páginas
...15 so that, if the application 1 The pertinent parts of Section 17 (a) and (b) read as follows : (a) It shall be unlawful for any affiliated person or...principal underwriter for a registered investment company . . . only or any affiliated person .of such a person, promoter, or principal underwriter, acting u... | |
 | United States. Securities and Exchange Commission - 1947 - 1062 páginas
...registered investment company (other than a company of the character described in Section 12 (d) (S) (A) and (B), or any affiliated person of such a person, promoter, or principal underwriter, acting at principal — (1) knowingly to sell any security or other property to such registered company or... | |
 | United States. Securities and Exchange Commission - 1952 - 920 páginas
...proceeds were invested in in 17 (a) (2) and (b) of the Investment Company Act of 1940 provides — (a) It shall be unlawful for any affiliated person or promoter of or principal underriter for a registered investment company (other than a company of the character scribed in section... | |
 | United States. Securities and Exchange Commission - 1949 - 1134 páginas
...reads as follows: It shall be unlawful for an affiliated person or promoter of or principal underwrite for a registered investment company (other than a company of the character tecnbd In Section 12 (d) (3) (A) and (B) ). or any affiliated person of such a person, promoter, or... | |
 | United States. Securities and Exchange Commission - 1953 - 828 páginas
...of Investment Company Act of 1940. • The applicable portion of Section 17 (a) Is an follows : "(a) It shall be unlawful for any affiliated person or promoter of or prlnclpul underwriter for • registered Investment company ... or any affiliated person uf •ach... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1940 - 164 páginas
...member of an advisory board, investment adviser, or employee of such registered company, or is a person (other than a company of the character described in section 12 (d) (3) (A) and (B)) of which any such officer, director, member of an advis>ry board, investment adviser, or employee is... | |
 | United States - 1953 - 1692 páginas
...section 78d of this title. § 80a-17. Transactions of certain affiliated persons and underwriters. (a) not apply to such transactions as the Commission by...conditionally or unconditionally exempt as being necessar Page 1772 of the character described in section 80a-12 (d) (3) (A) and (B) of this title), or any affiliated... | |
 | United States - 1964 - 356 páginas
...the renewal of such tender. TRANSACTIONS OF CERTAIN AFFILIATED PERSONS AND UNDERWRITERS SEC. 17. (a) It shall be unlawful for any affiliated person or...character described in section 12 (d) (3) (A) and (B)),or any affiliated person of such a person, promoter, or principal underwriter, acting as principal—... | |
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