Hearings, Reports and Prints of the Senate Committee on Banking and Currency, Partes1-4U.S. Government Printing Office, 1940 |
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Página 1
... advisers , and for other purposes . The full text of the bill will be made a part of the 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 ...
... advisers , and for other purposes . The full text of the bill will be made a part of the 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 ...
Página 6
... adviser , and participating in or influencing the manage- ment of companies outstanding securities of which are held by the registrant ; and ( C ) the characteristics , amounts , and relative amounts of securities and other assets which ...
... adviser , and participating in or influencing the manage- ment of companies outstanding securities of which are held by the registrant ; and ( C ) the characteristics , amounts , and relative amounts of securities and other assets which ...
Página 7
... adviser of or for a regis- tered management investment company or registered face - amount certificate company ; ( 2 ) as depositor , manager , or investment adviser of or for a registered unit investment trust ; ( 3 ) as principal ...
... adviser of or for a regis- tered management investment company or registered face - amount certificate company ; ( 2 ) as depositor , manager , or investment adviser of or for a registered unit investment trust ; ( 3 ) as principal ...
Página 8
... adviser registered under section 204 of title II of this Act , if ( A ) such investment adviser is engaged in no business other than that of an investment adviser ; ( B ) the sales load on securities issued by such registered company ...
... adviser registered under section 204 of title II of this Act , if ( A ) such investment adviser is engaged in no business other than that of an investment adviser ; ( B ) the sales load on securities issued by such registered company ...
Página 9
... adviser of or principal underwriter for such company if at the same time such person , or any company of which such person is an affiliated person , is serving or acting as oficer , manager , investment adviser , depositor , or ...
... adviser of or principal underwriter for such company if at the same time such person , or any company of which such person is an affiliated person , is serving or acting as oficer , manager , investment adviser , depositor , or ...
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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 dividends Exchange Commission existing face-amount certificate company fact firm Founders funds 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
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Página 27 - ... forfeiture ; but no individual shall be prosecuted or subjected to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he is compelled, after having claimed his privilege against self-incrimination, to testify or produce evidence, except that such individual so testifying shall not be exempt from prosecution and punishment for perjury committed in so testifying.
Página 26 - System, 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 34 - ... (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 116 - ... 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 725 - ... to aid in the enforcement of the provisions of this title, in the prescribing of rules and regulations thereunder, or in obtaining information to serve as a basis for recommending further legislation concerning the matters to which this title relates.
Página 656 - director " means any director of a corporation or any person performing similar functions with respect to any organization, whether incorporated or unincorporated.
Página 178 - 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 111 - 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 246 - No provision of this title imposing any liability shall apply to any act done or omitted in good faith in conformity with any rule, regulation, or...
Página 33 - ... (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...