Mutual Fund Legislation of 1967: Hearings, Ninetieth Congress, First Session, on S. 1659, Partes1-2U.S. Government Printing Office, 1967 - 1207 páginas |
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Términos y frases comunes
advisory fees amendment amount average banks broker-dealers brokerage capital gains Chairman COHEN Commission's committee common stock compensation competition Congress contractual plan corporate costs court dealers distribution dividends economic effect equity Exchange Commission fact fiduciary firms front-end load Fund Plan Sponsors fund sales fund's gross growth holders income interest investment adviser Investment Company Act Investment Company Institute legislation load funds management fees Massachusetts Investors Trust ment million mutual fund industry mutual fund investors Mutual Fund Plan mutual fund shares NASD net asset value paid payments percent performance period persons planholders POMERANTZ portfolio president profits proposal purchase question reasonable recommendations reduced reinvestment sales charges sales load salesmen sample Section 22(d securities business selling Senator BENNETT Senator MCINTYRE Senator PROXMIRE Senator WILLIAMS statement Stock Exchange survey tion transactions unaffiliated directors voluntary plan Wellington Fund York Stock Exchange
Pasajes populares
Página 477 - Department of the Wharton School of Finance and Commerce of the University of Pennsylvania.
Página 73 - That nothing in this section shall be held to take away or impair the jurisdiction of the courts of the several States under the laws thereof; and a judgment of conviction or acquittal on the merits under the laws of any State shall be a bar to any prosecution hereunder for the same act or acts.
Página 174 - ... 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 547 - 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 the Investment Advisers Act of 1940.
Página 100 - After one year from the effective date of this title it shall be unlawful for any person to serve or act as investment adviser of a registered investment company, except pursuant to a written contract, which contract, whether with such registered company or with an investment adviser of such registered company, unless in effect prior to March 15, 1910, has been approved by the vote of a majority of the outstanding voting securities...
Página 72 - Court, in dismissing the complaint for failure to state a claim on which relief can be granted, should therefore be affirmed.
Página 537 - If I can be of any further assistance, please do not hesitate to call upon me.
Página 131 - The relation of directors to corporations is of such a fiduciary nature that transactions between boards having common members are regarded as jealously by the law as are personal dealings between a director and his corporation; and where the fairness of such transactions is challenged, the burden is upon those who would maintain them to show their entire fairness; and where a sale is involved, the full adequacy of the consideration. Especially is this true where a common director is dominating in...
Página 99 - ... whereby a person undertakes regularly to serve or act as investment adviser of or principal underwriter for such company, unless the terms of such contract or agreement and any renewal thereof have been approved by the vote of a majority of the directors who are not parties to such contract or agreement or interested persons of any such party, cast in person at a meeting called for the purpose of voting on such approval.
Página 417 - ... of the total payments to be made thereon ; (2) more than one-half of any of the first twelve monthly payments thereon, or their equivalent, is deducted for sales load ; (3) the amount of sales load deducted from any one of such first payments exceeds proportionately the amount deducted from any other such payment, or the amount deducted from any subsequent payment exceeds proportionately the amount deducted from any other subsequent payment...