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 |
Dentro del libro
Resultados 1-5 de 32
Página 1
... extent to which it requires ex- plicit and affirmative disclosure whenever a dividend is being paid from a capital source . 1 The use of the letter " N " before the rule number to indicate that the rule was promulgated under the Invest ...
... extent to which it requires ex- plicit and affirmative disclosure whenever a dividend is being paid from a capital source . 1 The use of the letter " N " before the rule number to indicate that the rule was promulgated under the Invest ...
Página 2
... extent that a payment is properly desig- nated as being made from a source specified in subparagraph ( 1 ) or ( 2 ) , it need not be desig- nated as having been made from a source speci- fied in subparagraph ( 3 ) . ( b ) If the payment ...
... extent that a payment is properly desig- nated as being made from a source specified in subparagraph ( 1 ) or ( 2 ) , it need not be desig- nated as having been made from a source speci- fied in subparagraph ( 3 ) . ( b ) If the payment ...
Página 7
... extent , covering the same subject matter and for the accomplishment of the same ends as are prescribed in subsections ( a ) and ( b ) of this Section in respect of the rules which may be made by a registered securities association ...
... extent , covering the same subject matter and for the accomplishment of the same ends as are prescribed in subsections ( a ) and ( b ) of this Section in respect of the rules which may be made by a registered securities association ...
Página 8
... extent that the lag is cut down the possibilities of dilution are decreased , but they can be abso- lutely eliminated only if the price of shares at the time of sale or redemption by the investment company exactly corresponds to the ...
... extent that the lag is cut down the possibilities of dilution are decreased , but they can be abso- lutely eliminated only if the price of shares at the time of sale or redemption by the investment company exactly corresponds to the ...
Página 9
... extent to which it does . not restrict a dealer's activities as well as the extent to which it does . It does not prevent a dealer buying from whomever he wishes at whatever price he wishes . It does not prevent his selling to any other ...
... extent to which it does . not restrict a dealer's activities as well as the extent to which it does . It does not prevent a dealer buying from whomever he wishes at whatever price he wishes . It does not prevent his selling to any other ...
Otras ediciones - Ver todas
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...