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INVESTMEI 'T TRUSTS AND
INVESTMENT COMPANIES

STANFORD

HEARINGS

APR
27
1940

LIBRARY

BEFORE A

DIV.

SUBCOMMITTEE OF TNE,
COMMITTEE ON BANKING AND CURRENCY

UNITED STATES SENATE

SEVENTY-SIXTH CONGRESS

THIRD SESSION

ON

S. 3580

A BILL TO PROVIDE FOR THE REGISTRATION AND
REGULATION OF INVESTMENT COMPANIES AND
INVESTMENT ADVISERS, AND FOR

OTHER PURPOSES

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Printed for the use of the Committee on Banking and Currency

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604739

COMMITTEE ON BANKING AND CURRENCY

ROBERT F. WAGNER, New York, Chairman CARTER GLASS, Virginia

JOHN G. TOWNSEND, JR., Delaware ALBEN W. BARKLEY, Kentucky

LYNN J. FRAZIER, North Dakota JAMES F. BYRNES, South Carolina

CHARLES W. TOBEY, New Hampshire JOHN H. BANKHEAD, Alabama

JOHN A. DANAHER, Connecticut
ALVA B. ADAMS, Colorado

ROBERT A. TAFT, Ohio
FRANCIS T. MALONEY, Connecticut
GEORGE L. RADCLIFFE, Maryland
PRENTISS M. BROWN, Michigan
JAMES H. HUGHES, Delaware
CLYDE L. HERRING, Iowa
WILLIAM H. SMATHERS, New Jersey
JOHN E. MILLER, Arkansas
D. WORTH CLARK, Idaho
SHERIDAN DOWNEY, California

PHILIP LEVY, Clerk

SUBCOMMITTEE ON SECURITIES AND ExchaNGE

ROBERT F. WAGNER, New York, Chairman CARTER GLASS, Virginia

JOHN G. TOWNSEND, JR., Delaware JAMES F. BYRNES, South Carolina

LYNN J. FRAZIER, North Dakota FRANCIS T. MALONEY, Connecticut

ROBERT A. TAFT, Ohio
JAMES H. HUGHES, Delaware
CLYDE L. HERRING, Iowa
JOHN E. MILLER, Arkansas
SHERIDAN DOWNEY, California

CONTENTS

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36

58

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