Hearings, Reports and Prints of the Senate Committee on Banking and Currency, Partes1-4U.S. Government Printing Office, 1940 |
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Página 60
... question as to who were the nominees . We felt impressed with the idea that an investment trust , appealing to the public or investors , by reason of the confidence one might have in the management - and I do want to stop to say that ...
... question as to who were the nominees . We felt impressed with the idea that an investment trust , appealing to the public or investors , by reason of the confidence one might have in the management - and I do want to stop to say that ...
Página 64
... questions won't disturb me , Senators . Senator DOWNEY . Then I would like to ask a question right there . About what time was this ? Senator HUGHES . I understood it was in 1937 . Senator DoWNEY . Was it in October ? Mr. Cook . From ...
... questions won't disturb me , Senators . Senator DOWNEY . Then I would like to ask a question right there . About what time was this ? Senator HUGHES . I understood it was in 1937 . Senator DoWNEY . Was it in October ? Mr. Cook . From ...
Página 70
... questions of Mr. Cook ? Thank you very much , Mr. Cook . You have been very helpful . Senator DowNEY . I wonder if I ... question of the looting of these investment trusts . In the first place , I think an investment trust is a very ...
... questions of Mr. Cook ? Thank you very much , Mr. Cook . You have been very helpful . Senator DowNEY . I wonder if I ... question of the looting of these investment trusts . In the first place , I think an investment trust is a very ...
Página 107
... question said that there should be regulation . Senator WAGNER . May I ask one final question ? You have read the bill that is pending now ? Mr. STERN . Yes . Senator WAGNER . And you have had the experience that you just related to us ...
... question said that there should be regulation . Senator WAGNER . May I ask one final question ? You have read the bill that is pending now ? Mr. STERN . Yes . Senator WAGNER . And you have had the experience that you just related to us ...
Página 116
... question in the Rochester Telephone case involved the meaning of " control " as used in sec . 2 ( b ) of the Federal Communications Act of 1934. This statute subjected to the jurisdiction of the Communi- cations Commission any carrier ...
... question in the Rochester Telephone case involved the meaning of " control " as used in sec . 2 ( b ) of the Federal Communications Act of 1934. This statute subjected to the jurisdiction of the Communi- cations Commission any carrier ...
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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...