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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... referred to in Regulation S - X , which states the requirements applicable to the form and content of most financial statements required to be filed with the Commission . The Investment Company Act of 1940 and all of the documents referred ...
... referred to in Regulation S - X , which states the requirements applicable to the form and content of most financial statements required to be filed with the Commission . The Investment Company Act of 1940 and all of the documents referred ...
Página 7
... referred to as " dilu- tion . " The same process can occur in reverse when a share is redeemed at a price above its asset value at the time of redemption . Either process is made possible by a lag between a change in portfolio values ...
... referred to as " dilu- tion . " The same process can occur in reverse when a share is redeemed at a price above its asset value at the time of redemption . Either process is made possible by a lag between a change in portfolio values ...
Página 9
... referred is appro- priate at this point . The primary distribution of the shares of open - end investment com- panies is customarily made through under- writers and dealers having sales agreements with the issuer or principal ...
... referred is appro- priate at this point . The primary distribution of the shares of open - end investment com- panies is customarily made through under- writers and dealers having sales agreements with the issuer or principal ...
Página 13
... referred to in para- graph ( c ) shall contain a provision to the effect that if any such security is repurchased by the issuer or by the underwriter for the account of the issuer or is tendered for redemption within 7 business days ...
... referred to in para- graph ( c ) shall contain a provision to the effect that if any such security is repurchased by the issuer or by the underwriter for the account of the issuer or is tendered for redemption within 7 business days ...
Página 14
... referred to in paragraph ( c ) shall , as principal , purchase any such security from a record holder at a price lower than the bid price then quoted by or for the issuer . ( 2 ) No member who is an underwriter of such a security shall ...
... referred to in paragraph ( c ) shall , as principal , purchase any such security from a record holder at a price lower than the bid price then quoted by or for the issuer . ( 2 ) No member who is an underwriter of such a security shall ...
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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...