Investment Company Amendments of 1967: S. 1659: Analysis of S. 1659 [prepared by the Securities and Exchange Commission, And] Comparative Print Showing Changes in Existing Law, Volúmenes22-23U.S. Government Printing Office, 1967 - 117 páginas |
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1940 is amended 89th Congress act as investment Act is amended Act is further action affiliated person amend section amended to read amount application assets bank bill would amend board of directors broker-dealer centum per annum clause clients Commission's compensation controlling person court dealer depositor employee exemption face-amount certificate company face-amount certificates filed fund holding companies gross payment installment type interested person Investment Advisers Act investment banker Investment Company Act issuer March 15 ment company mutual fund officer outstanding voting securities pany payment or payments prescribe principal underwriter prohibit proposed amendment protection of investors public interest pursuant read as follows redeemable securities registered company registered investment company regular broker reserve payments respect rule or regulation rules and regulations sales charges sales load section 203 Securities Exchange Act security issued serve or act shareholders shares tion transactions unit investment trust United States Code unlawful violation
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Página 39 - CHANGES IN EXISTING LAW MADE RY THE BILL, AS REPORTED In compliance with clause 3 of rule XIII of the Rules of the House of Representatives, changes in existing law made by the bill, as reported, are shown as follows (existing law proposed to be omitted is enclosed in black brackets, new matter is printed in italic...
Página 41 - ... 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 53 - If either party shall apply to the court for leave to adduce additional evidence, and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for the failure to adduce such evidence in the...
Página 39 - custodian bank" is any bank or trust company which is supervised and examined by state or federal authority having supervision over banks and which is acting as custodian for a clearing corporation. (5) Other definitions applying to this article or to specified parts thereof and the sections in which they appear are: "Adverse claim".
Página 40 - ... bona fide officer, director, trustee, member of an advisory board, or employee of such company, as such) who pursuant to contract with such company regularly furnishes advice to such company with respect to the desirability of investing in, purchasing or selling securities or other property...
Página 53 - Any person or party aggrieved by an order issued by the Commission under this title may obtain a review of such order in the court of appeals of the United States within any circuit wherein such person resides or has his principal Sec.
Página 1 - Department of the Wharton School of Finance and Commerce of the University of Pennsylvania.
Página 49 - ... 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.
Página 54 - States shall have jurisdiction of violations of this title or the rules, regulations, or orders thereunder, and, concurrently with State and Territorial courts, of all suits in equity and actions at law brought to enforce any liability or duty created by, ) or to enjoin any violation of, this title or the rules, regulations, or orders thereunder.
Página 53 - Court of Appeals for the District of Columbia, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.