High Interest Rates, Hearings Before ..., 91-1 ..., March 25 and 26, and April 1, 19691969 - 127 páginas |
Dentro del libro
Resultados 1-5 de 17
Página 18
... violations of the act and to enforce compliance with its provisions . It is contemplated that in a proper case the court would direct divestiture of securities ac- quired in a transaction which violated the act . Subparagraph ( H ) ...
... violations of the act and to enforce compliance with its provisions . It is contemplated that in a proper case the court would direct divestiture of securities ac- quired in a transaction which violated the act . Subparagraph ( H ) ...
Página 20
... violations of the requirements of the act and adequately implement your committee's basic intent in proposing this section . Finally , the section provides that no person is to be deemed to be an interested person of an investment ...
... violations of the requirements of the act and adequately implement your committee's basic intent in proposing this section . Finally , the section provides that no person is to be deemed to be an interested person of an investment ...
Página 21
... violated , or had willfully participated in a violation of any provision of the Securities Act , the Securities Exchange Act , the Investment Company Act or the Investment Advisers Act or any rule or regulation under those statutes ...
... violated , or had willfully participated in a violation of any provision of the Securities Act , the Securities Exchange Act , the Investment Company Act or the Investment Advisers Act or any rule or regulation under those statutes ...
Página 22
... violations committed by individuals . It is not intended to provide a basis for the Commis- sion to undertake a general revision of the practices or structures of the investment company industry . In appropriate cases , nonfeasance of ...
... violations committed by individuals . It is not intended to provide a basis for the Commis- sion to undertake a general revision of the practices or structures of the investment company industry . In appropriate cases , nonfeasance of ...
Página 28
... violations of the act or rules and regulations there- under , refers to sections 128 and 240 of the Judicial Code , as amended , which have been redesignated as sections 1254 and 1291–1294 of title 28 of the United States Code . Part J ...
... violations of the act or rules and regulations there- under , refers to sections 128 and 240 of the Judicial Code , as amended , which have been redesignated as sections 1254 and 1291–1294 of title 28 of the United States Code . Part J ...
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).