Hearings, Reports and Prints of the Senate Committee on Banking and Currency, Partes1-4U.S. Government Printing Office, 1940 |
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Página 33
... discussion of the bill . Mr. HEALY . I will leave with the subcommittee some copies of my prepared statement . Senator WAGNER . Do you say you have copies for the members of the subcommittee ? Mr. HEALY . Yes . Senator WAGNER . May we ...
... discussion of the bill . Mr. HEALY . I will leave with the subcommittee some copies of my prepared statement . Senator WAGNER . Do you say you have copies for the members of the subcommittee ? Mr. HEALY . Yes . Senator WAGNER . May we ...
Página 77
... discussion of these particular trusts in the street and elsewhere , and the original conspirators became alarmed and they concluded that they would sell their interest in Northern Fiscal , which now controlled , directly or indirectly ...
... discussion of these particular trusts in the street and elsewhere , and the original conspirators became alarmed and they concluded that they would sell their interest in Northern Fiscal , which now controlled , directly or indirectly ...
Página 116
... discuss further the minority ownership of the Rochester Telephone Corporation by the New York Telephone Co. After discussing the history of the relationship between these companies , the financial transactions between them , the ...
... discuss further the minority ownership of the Rochester Telephone Corporation by the New York Telephone Co. After discussing the history of the relationship between these companies , the financial transactions between them , the ...
Página 121
... discussion he showed that Founders raised $ 500,000,000 of the public's money . In 1933 the group that was controlling Founders sold their con- trolling block of stock to another investment trust - but I will dis- cuss that a little bit ...
... discussion he showed that Founders raised $ 500,000,000 of the public's money . In 1933 the group that was controlling Founders sold their con- trolling block of stock to another investment trust - but I will dis- cuss that a little bit ...
Página 138
... discussion , in the investment - trust industry , works . The two - price system is , in the financial world , I suppose , a distinct peculiarity of the investment - trust industry . In substance , in this industry people are urged to ...
... discussion , in the investment - trust industry , works . The two - price system is , in the financial world , I suppose , a distinct peculiarity of the investment - trust industry . In substance , in this industry people are urged to ...
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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
Pasajes populares
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...