Compilation of Releases, Commission Opinions, and Other Material Dealing with Matters Frequently Arising Under the Investment Company Act of 1940U.S. Government Printing Office, 1967 - 94 páginas |
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... affiliated transactions . 4007 Section 3 ( c ) -Rule 3c - 3 - Segregated accounts .. 4020 Section 17 ( g ) —Rule 17g - 1 - Bonding requirements . 51 51 55 56 58 63 65 4044 Section 12 ( d ) -Rule 12d - 1 - Exemption of certain ...
... affiliated transactions . 4007 Section 3 ( c ) -Rule 3c - 3 - Segregated accounts .. 4020 Section 17 ( g ) —Rule 17g - 1 - Bonding requirements . 51 51 55 56 58 63 65 4044 Section 12 ( d ) -Rule 12d - 1 - Exemption of certain ...
Página 22
... affiliated persons of an investment adviser of , or officers or employees of , such registered company . The opinion of the Gen- eral Counsel , in response to an inquiry from a member of the industry , is that the term " em- ployees ...
... affiliated persons of an investment adviser of , or officers or employees of , such registered company . The opinion of the Gen- eral Counsel , in response to an inquiry from a member of the industry , is that the term " em- ployees ...
Página 43
... affiliated person . Such Section , however , authorizes the Commission , by rules and regulations , as well as by order , to exempt any such transaction from such prohibitions , if and to the extent that such exemption is consistent ...
... affiliated person . Such Section , however , authorizes the Commission , by rules and regulations , as well as by order , to exempt any such transaction from such prohibitions , if and to the extent that such exemption is consistent ...
Página 44
... affiliated person . A purchase from a syndicate manager shall not be deemed to be a purchase from a specific underwriter so long as that underwriter does not benefit directly or in- directly from the transaction . ( g ) The purchase of ...
... affiliated person . A purchase from a syndicate manager shall not be deemed to be a purchase from a specific underwriter so long as that underwriter does not benefit directly or in- directly from the transaction . ( g ) The purchase of ...
Página 51
... affiliated person of a registered investment company , acting as agent , to accept compensation ( other than a regular salary or wages from such registered company ) from any source for the purchase or sale of any property to or for ...
... affiliated person of a registered investment company , acting as agent , to accept compensation ( other than a regular salary or wages from such registered company ) from any source for the purchase or sale of any property to or for ...
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Términos y frases comunes
accepted in shares accumulated shares affiliated person amount application asset value bank bond business investment company capital gains distributions chart or table collective investment funds Company Act Release company's cumulative curities dealer December 31 directors dividend reinvestment plan dividends reinvested employees Exchange Commission fidelity bond filed folio company gains distributions accepted investment adviser Investment Company Act issuer ment Company Act net asset value opinion pany paragraph payment percent period permit principal underwriter prohibited prospectus protection of investors provisions of Section public interest public offering price purchase purposes pursuant to Section redeemable securities redemption regis registered investment company registration statement sales charge sales literature sales load SBIC Section 17 Section 24 Section 6(c Securities Act Securities and Exchange securities issued shareholders sion small business investment Statement of Policy stockholders suant subparagraph thereof tion transaction unit investment trust vestment company voting securities
Pasajes populares
Página 50 - ... 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 56 - To make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading...
Página 56 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange, "(a) To employ any device, scheme, or artifice to defraud...
Página 27 - Commission, might violate statutory standards, including provisions of the Securities Act of 1933 and the Investment Company Act of 1940.
Página 88 - ... voting-trust certificates or collateral-trust certificates, or with respect to certificates of interest or shares in an unincorporated investment trust not having a board of directors (or persons performing similar functions) or of the fixed, restricted management or unit type; the term 'issuer...
Página 24 - ... (e) (1) A registration statement under the Securities Act of 1933 relating to a security issued by a face-amount certificate company or a redeemable security issued by an open-end management company or unit investment trust...
Página 57 - I am taking the liberty of sending a copy of this letter to the other members of your committee.
Página 62 - Associate company" of a company means any company in the same holding-company system with such company. (11) "Affiliate" of a specified company means — (A) any person that directly or indirectly owns, controls, or holds with power to vote, 5 per centum or more of the outstanding voting securities of such...
Página 82 - Company" means a corporation, a partnership, an association, a jointstock company, a trust, a fund, or any organized group of persons, whether incorporated or not; or any receiver, trustee in bankruptcy, or similar official or any liquidating agent for any of the foregoing in his capacity as such. (9) "Control...
Página 67 - ... qualifying shares) are, or after such acquisition will be, owned by one or more registered investment companies; and (B) such person is primarily engaged in the business of underwriting and distributing securities issued by other persons, selling securities to customers, or...