Hearings, Reports and Prints of the Senate Committee on Banking and Currency, Partes1-4U.S. Government Printing Office, 1940 |
Dentro del libro
Resultados 1-5 de 100
Página 11
... representing a definite percentage of such company's income from interest and dividends during a definite period ; or ( 3 ) a sum of money representing a definite percentage of the value of the net assets of such company as of a ...
... representing a definite percentage of such company's income from interest and dividends during a definite period ; or ( 3 ) a sum of money representing a definite percentage of the value of the net assets of such company as of a ...
Página 24
... represent or imply in any manner whatsoever that such security or company , or any affiliated person of or principal underwriter for such company , has been guaranteed , sponsored , recommended , or approved by the United States or any ...
... represent or imply in any manner whatsoever that such security or company , or any affiliated person of or principal underwriter for such company , has been guaranteed , sponsored , recommended , or approved by the United States or any ...
Página 27
... represents an obligation on the part of its issuer to pay a stated or determinable sum or sums at a fixed or ... representing an undivided interest in certain specified securities or in a unit or fund of securities purchased wholly or ...
... represents an obligation on the part of its issuer to pay a stated or determinable sum or sums at a fixed or ... representing an undivided interest in certain specified securities or in a unit or fund of securities purchased wholly or ...
Página 34
... large public interest in these organizations , and be- cause these investment trusts and investment companies represent insupervised pools of savings , these institutions have been a 34 INVESTMENT TRUSTS AND INVESTMENT COMPANIES.
... large public interest in these organizations , and be- cause these investment trusts and investment companies represent insupervised pools of savings , these institutions have been a 34 INVESTMENT TRUSTS AND INVESTMENT COMPANIES.
Página 38
... represent a source of injury to the investor exceeding any social or economic function they may serve . I realize that this is a grave assertion for any man to make about any industry , and I make it in all seriousness . It should ...
... represent a source of injury to the investor exceeding any social or economic function they may serve . I realize that this is a grave assertion for any man to make about any industry , and I make it in all seriousness . It should ...
Otras ediciones - Ver todas
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...