 | 1944 - 822 páginas
...Indenture Act of 1939 ; registration and regulation of investment companies and investment advisers under the Investment Company Act of 1940 and the Investment Advisers Act of 1940; and the preparation of advisory reports on plans, and participation as a party, in corporate reorganizations... | |
 | 2002 - 748 páginas
...amounts of all civil monetary penalties under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940 are adjusted for inflation in accordance with Table I to this subpart. The adjustments set forth in... | |
 | 2000 - 714 páginas
...amounts of all civil monetary penalties under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940 are adjusted for inflation in accordance with Table I to this subpart. The adjustments set forth in... | |
 | 1997 - 714 páginas
...amounts of all civil monetary penalties under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940 are adjusted for inflation in accordance with Table I to this subpart. The adjustments set forth in... | |
 | 1998 - 784 páginas
...amounts of all civil monetary penalties under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940 are adjusted for inflation in ac-cordance with Table I to this subpaxt. The adjustments set forth in... | |
 | 1986 - 1004 páginas
...is responsible to the Commission for the administration of the Commission's responsibilities under the Investment Company Act of 1940 and the Investment Advisers Act of 1940, the administration and execution of the Public Utility Holding Company Act of 1935, and with respect to... | |
 | 1979 - 1804 páginas
...is responsible to the Commission for the administration of the Commission's responsibilities under the Investment Company Act of 1940 and the Investment Advisers Act of 1940, and with respect to matters pertaining to investment companies registered under the Investment Company... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1950 - 392 páginas
...corporation. Exemption of subsidiaries from Investment Company and Advisers Acts. — S. 829 exempted from the Investment Company Act of 1940 and the Investment Advisers Act of 1940, the bank holding company subsidiaries conforming to the definition of "subsidiary." S. 2318 slightly changes... | |
 | 1950 - 634 páginas
...1934, as amended, the Public Utilities Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940." HR 5065 was a bill "To amend Paragraph (1) of Section 2 of the Securities Act of 1933, as amended,... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1952 - 1246 páginas
...SECURITIES AND EXCHANGE COMMISSION Chairman HELI.KH. I understand you are going to testify today on the Investment Company Act of 1940, and the Investment Advisers Act of 1940, is that correct? Commissioner ROWEN. That is correct. Chairman HELLER. Do you adopt the statement contained... | |
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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. 
