High Interest Rates, Hearings Before ..., 91-1 ..., March 25 and 26, and April 1, 19691969 - 127 páginas |
Dentro del libro
Resultados 1-5 de 26
Página 4
... broker - dealers , and underwriters and reasonable sales loads to in- vestors . Deletion of language to conform to proposed language of sec . 6 of the bill .. Permitting banks to engage in certain investment company activities ...
... broker - dealers , and underwriters and reasonable sales loads to in- vestors . Deletion of language to conform to proposed language of sec . 6 of the bill .. Permitting banks to engage in certain investment company activities ...
Página 8
... broker - dealers , and underwriters , and for reasonable sales loads to investors . " This does not mean that such rules must preserve the current level of profitability of every salesman , broker- dealer , or underwriter in the ...
... broker - dealers , and underwriters , and for reasonable sales loads to investors . " This does not mean that such rules must preserve the current level of profitability of every salesman , broker- dealer , or underwriter in the ...
Página 13
... broker- dealer dealing in such interests or participations from liability under the antifraud and antimanipulative provisions of section 15 ( c ) of the act and would not exempt any person purchasing or selling such interests or ...
... broker- dealer dealing in such interests or participations from liability under the antifraud and antimanipulative provisions of section 15 ( c ) of the act and would not exempt any person purchasing or selling such interests or ...
Página 17
... broker - dealer registered under the Securities Exchange Act of 1934 to sell or otherwise dispose of a security issued by a registered investment company to any other investment company if , as a result of such transaction and to the ...
... broker - dealer registered under the Securities Exchange Act of 1934 to sell or otherwise dispose of a security issued by a registered investment company to any other investment company if , as a result of such transaction and to the ...
Página 18
... broker - dealer registered under the Securities Exchange Act of 1934 or a controlled person of such a broker - dealer and the investment portfolio of which consists only of that security . In the case of a purchase or acquisition by a ...
... broker - dealer registered under the Securities Exchange Act of 1934 or a controlled person of such a broker - dealer and the investment portfolio of which consists only of that security . In the case of a purchase or acquisition by a ...
Términos y frases comunes
acquiring company action adviser or principal affiliated person amended to read AMENDING SECTION application assets bill would amend board of directors broker-dealer centum class or series clause collective trust funds Commission companies controlled company or companies compensation or payments court depositor exempt face-amount certificate company face-amount certificates Federal Reserve System filed gross annual payment interested person interests or participations Internal Revenue Code Investment Advisers Act Investment Company Act issuer March 15 meets the requirements ment adviser ment company mutual fund outstanding voting securities pany payment or payments plan which meets principal underwriter proposed amendment protection of investors pursuant read as follows reasonable registered company registered investment company requirements for qualification reserve payment rules and regulations sales load Section 15 section 203 section 3(c Securities Act Securities Exchange Act security holders security issued serve or act subparagraph thereof tion trust fund maintained unit investment trust United States Code unlawful
Pasajes populares
Página 103 - No objection to the order of the Commission shall be considered by the court unless such objection shall have been urged before the Commission or unless there were reasonable grounds for failure so to do.
Página 47 - Commission under this title may obtain a review of such order in the court of appeals of the United States within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.
Página 32 - CHANGES IN EXISTING LAW MADE RY THE BILL, AS REPORTED In compliance with clause 3 of rule XIII of the Rules of the House of Representatives, changes in existing law made by the bill, as reported, are shown as follows (existing law proposed to be omitted is enclosed in black brackets, new matter is printed in italic...
Página 44 - ... 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 54 - SPARKMAN introduced the following bill; which was read twice and referred to the Committee on Banking and Currency A BILL To amend the Investment Company Act of 1940 and the Investment Advisers Act of 1940 to define the equitable standards governing relationships between investment companies and their investment advisers and principal underwriters, and for other purposes.
Página 81 - ... shall conform to such rules and regulations as the commission may from time to time prescribe for the protection of life, health, and property.
Página 103 - If either party shall apply to the court for leave to adduce additional evidence, and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for the failure to adduce such evidence in the...
Página 32 - custodian bank" is any bank or trust company which is supervised and examined by state or federal authority having supervision over banks and which is acting as custodian for a clearing corporation. (5) Other definitions applying to this article or to specified parts thereof and the sections in which they appear are: "Adverse claim".
Página 102 - Any person or party aggrieved by an order issued by the Commission under this title may obtain a review of such order in the court of appeals of the United States...
Página 47 - Commission shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended (USC, title 28, sees. 346 and 347).