Investment Trusts and Investment Companies: Hearings Before a Subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Seventy-sixth Congress, Third Session, on H.R. 10065, a Bill to Provide for the Registration and Regulation of Investment Companies and Investment Advisers, and for Other Purposes. June 13 and 14, 1940U.S. Government Printing Office, 1940 - 145 páginas |
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Página 7
... types of businesses . The filing of an applica- tion under this paragraph by an issuer other than a registered investment company shall exempt the applicant for a period of sixty days INVESTMENT TRUSTS AND INVESTMENT COMPANIES ་ 7.
... types of businesses . The filing of an applica- tion under this paragraph by an issuer other than a registered investment company shall exempt the applicant for a period of sixty days INVESTMENT TRUSTS AND INVESTMENT COMPANIES ་ 7.
Página 8
... exempt the applicant for a period of sixty days from all provisions of this title applicable to investment companies as such . For cause shown , the Com- mission by order may extend such period of exemption for an additional period or ...
... exempt the applicant for a period of sixty days from all provisions of this title applicable to investment companies as such . For cause shown , the Com- mission by order may extend such period of exemption for an additional period or ...
Página 9
... existing immediately after its acquisition of any security or other property is neither wholly nor partly the result of such acquisi- tion . EXEMPTIONS SEC . 6. ( a ) The following investment INVESTMENT TRUSTS AND INVESTMENT COMPANIES 9.
... existing immediately after its acquisition of any security or other property is neither wholly nor partly the result of such acquisi- tion . EXEMPTIONS SEC . 6. ( a ) The following investment INVESTMENT TRUSTS AND INVESTMENT COMPANIES 9.
Página 10
... exemption shall terminate if any security of which such company is the issuer is offered for sale or sold after the effective date of this title , by such company or an underwriter therefor , to a resident of any State other than the ...
... exemption shall terminate if any security of which such company is the issuer is offered for sale or sold after the effective date of this title , by such company or an underwriter therefor , to a resident of any State other than the ...
Página 12
... exemptions as it deems appropriate for the protection of investors , may by order suspend the registration of such company until such statement or report is filed or corrected , or may 12 INVESTMENT TRUSTS AND INVESTMENT COMPANIES.
... exemptions as it deems appropriate for the protection of investors , may by order suspend the registration of such company until such statement or report is filed or corrected , or may 12 INVESTMENT TRUSTS AND INVESTMENT COMPANIES.
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Términos y frases comunes
advisory affiliated person amended amount application bank bill board of directors BOREN BUNKER centum certificate holders Chairman closed-end companies COLE committee contract corporation court depositor dividend effective date engaged Exchange Commission exemption face-amount certificate company Federal fees filed hearings industry installment instrumentality of interstate interstate commerce investment adviser investment counsel Investors Syndicate issuer Jaretzki June 12 mails management company March 15 means or instrumentality ment officer open-end companies outstanding voting securities pany paragraph percent periodic payment plan portfolio principal underwriter protection of investors provision public interest purchase pursuant registered company registered investment company registration statement reorganization reserve respect rules and regulations sales load SCHENKER Securities Act Securities and Exchange Securities Exchange securities issued security holders sell Senate stockholders subcommittee subsection Texas Fund thereof tion transactions type of company unit investment trust unlawful unless voting trusts York Stock Exchange
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Página 46 - ... court may seem proper. The Commission may modify its findings as to the facts by reason of the additional evidence so taken, and it shall file with the court such modified or new findings, which, if supported by substantial evidence, shall be conclusive, and its recommendation, if any, for the modification or setting aside of the original order.
Página 46 - Commission under this title may obtain a review of such order in the circuit 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 41 - Security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, or, in general, any interest or instrument commonly known as a "security...
Página 4 - common trust fund" means a fund maintained by a bank (as defined in section 104) — (1) exclusively for the collective investment and reinvestment of moneys contributed thereto by the bank in its capacity as a trustee, executor, administrator, or guardian...
Página 87 - Investment adviser" means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities...
Página 116 - ... 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 45 - Commission or any officer designated by it is empowered to administer oaths and affirmations, subpena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, or other records which the Commission deems relevant or material to the inquiry.
Página 36 - System, notwithstanding that such rule or regulation may, after such act or omission, be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.
Página 45 - Act, he may make application to the appropriate court for an order enjoining such acts or practices, or for an order enforcing compliance with such provision, and upon a showing by the President that such person has engaged or is about to engage in any such acts or practices a permanent or temporary injunction, restraining order, or other order shall be granted without bond.
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).