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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Página 9
... prohibited by Section 22 ( d ) of the Investment Company Act from selling to investors at a price below the public offering price . This statutory provision , however , has nothing to do with the rule under discussion . ing the time it ...
... prohibited by Section 22 ( d ) of the Investment Company Act from selling to investors at a price below the public offering price . This statutory provision , however , has nothing to do with the rule under discussion . ing the time it ...
Página 11
... prohibited by paragraph ( j ) ( 2 ) , which applies exclu- sively to the redemption of shares . Other Provisions of the Proposed Rule . It would extend this opinion unduly to dis- cuss in detail the other provisions of the pro- posed ...
... prohibited by paragraph ( j ) ( 2 ) , which applies exclu- sively to the redemption of shares . Other Provisions of the Proposed Rule . It would extend this opinion unduly to dis- cuss in detail the other provisions of the pro- posed ...
Página 43
... prohibited by Section 10 ( f ) of the Act shall be exempt from the provi- sions of such Section if the following conditions are met : ( a ) The securities to be purchased are ( 1 ) part of an issue effectively registered under the ...
... prohibited by Section 10 ( f ) of the Act shall be exempt from the provi- sions of such Section if the following conditions are met : ( a ) The securities to be purchased are ( 1 ) part of an issue effectively registered under the ...
Página 46
... prohibited under Section 22 ( d ) of the Act from discriminatory pricing policies . It is also apparent , in any event , that even if the investment company , its principal under- writer or dealer have not initiated the group purchase ...
... prohibited under Section 22 ( d ) of the Act from discriminatory pricing policies . It is also apparent , in any event , that even if the investment company , its principal under- writer or dealer have not initiated the group purchase ...
Página 52
... prohibited by such Sections solely because of an affiliation created through the owning , holding , or controlling with power to vote , by the SBIC , of the voting securities of a small business concern . The rule as proposed would have ...
... prohibited by such Sections solely because of an affiliation created through the owning , holding , or controlling with power to vote , by the SBIC , of the voting securities of a small business concern . The rule as proposed would have ...
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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...