 | United States. Securities and Exchange Commission - 1945 - 1290 páginas
...not difficult to find. As to the second part of Section 30, calling for the investment trust study, the Investment Company Act of 1940 and the Investment Advisers Act of 1940 furnish the answer. As to the utility studies and recommendations, there was always a reason unconnected... | |
 | United States. Congress. House. Temporary National Economic Committee - 1941 - 474 páginas
...deficiencies found in their organization and operation. The Commission's studies led to the enactment of the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Both acts were passed unanimously by the Congress and signed by the President on August 23. 1940. 'Temporary... | |
 | United States. Congress. House. Appropriations - 1941 - 1222 páginas
...ADVISERS ACT OF 1940 The fifth project is in connection with the administration and enforcement of the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Our justifications for this project start at the bottom of page 37. Our administration of these acts... | |
 | United States. Congress - 1941 - 874 páginas
...amended; and the registration and regulation of investment companies and investment advisers under the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Objectives of the Securities Act of 1933. — The Securities Act of 1933 is designed to compel full... | |
 | United States. Congress. House. Temporary National Economic Committee - 1941 - 460 páginas
...deficiencies found in their organization and operation. The Commission's studies led to the enactment of the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Koth acts were passed unanimously by the Congress and signed by the President on August 23. 1940. 3... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1942 - 348 páginas
...Securities Exchange Act of 1934," dated August 7, 1941. referred to hereinafter as the SEC Report. a The Investment Company Act of 1940 and the Investment Advisers Act of 1940, both enacted since the date of the last report of the Special Committee, have not been dealt wi(h because... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1942 - 296 páginas
...Act. Since the enactment of section 15 (b) the Congress has passed the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940. It is jointly proposed to treat violations of those acts on the same basis as violations of the 1933... | |
 | United States. Congress. House. Committee on Appropriations - 1942 - 1606 páginas
...460 Base for 1942 5, 298, 540 Increase requested in 1942 for the administration and enforcement of the Investment Company Act of 1940 and the Investment Advisers Act of 1940 (add) 81, 460 381 The increase of $81,460 requested in 1942 for the administration and enforcement... | |
 | United States. Congress. House. Committee on Public Buildings and Grounds - 1942 - 756 páginas
...the Public Utility Act of 1935), the Over-the-Counter Act of 1938, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940; and it has substantial duties in connection with chapter X of the National Bankruptcy Act. Its activities... | |
 | United States. Congress. House. Committee on Appropriations - 1943 - 1322 páginas
...the Securities Exchange Act of 1934 ;" the Securities Act of 1933; the Trust Indenture Act of 1939; the Investment Company Act of 1940; and the Investment Advisers Act of 1940. Also, we perform duties under the provisions of chapter X of the Bankruptcy Act, that being the reorganization... | |
| |
Commission is responsible for the administration and enforcement of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and... 
