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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. "
Wall Street Polices Itself: How Securities Firms Manage the Legal Hazards of ... - Página 47
por David P. McCaffrey, David W. Hart - 1998 - 224 páginas
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Agency Hearings: Hearing[s]

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1967 - 904 páginas
...formal advisory reports on suggested plans of reorganization. The two remaining Federal statutes— the Investment Company Act of 1940 and the Investment Advisers Act of 1940 — also resulted from comprehensive studies conducted by the Commission, at the instance and direction...
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Investment Company Amendments of 1967: S. 1659: Analysis of ..., Volúmenes22-23

United States. Congress. Senate. Committee on Banking and Currency - 1967 - 132 páginas
...had submitted to Congress legislative proposals unanimously recommended by the Commission to amend the Investment Company Act of 1940 and the Investment Advisers Act of 1940. They would provide additional protection for mutual fund shareholders in areas where the tremendous...
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Mutual Fund Legislation of 1967, Hearings Before ..., 90:1- ....

United States. Congress. Senate. Committee on Banking and Currency - 1967 - 1422 páginas
...AUGENBLICK STATEMENT OF POSITION OF INVESTMENT COMPANY INSTITUTE WITH REGARD TO CERTAIN AMENDMENTS TO THE INVESTMENT COMPANY ACT OF 1940 AND THE INVESTMENT ADVISERS ACT OF 1940 PROPOSED IN S- 1659 ;*tK>n of Affected section S. 1659 of 1940 act Nature of change Comment 2(1) ....
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Federal Procurement Activity and Hard Core Unemployment: Hearings, Ninetieth ...

United States. Congress. Senate. Committee on Small Business. Subcommittee on Government Procurement - 1968 - 512 páginas
...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. The Commission also serves as adviser to Federal courts in corporate reorganization proceedings under Chapter...
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Federal Procurement Activity and Hard Core Unemployment: Hearings, Ninetieth ...

United States. Congress. Senate. Committee on Small Business. Subcommittee on Government Procurement - 1968 - 490 páginas
...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. The Commission also serves as adviser to Federal courts in corporate reorganization proceedings under Chapter...
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Investment Company Act Amendments of 1967: Hearings, Ninetieth Congress ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1968 - 898 páginas
...HE 9510, the "Investment Company Amendments Act of 1967." The stated purpose of the bill is to amend the Investment Company Act of 1940, and the Investment Advisers Act of 1940 to define the equitable standards governing relationships between investment companies, their investment...
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Investment Company Act Amendments of 1967: Bank and Insurance Company ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1968 - 192 páginas
...believe it should be quite clear. Your suggestion that your industry come under certain provisions of the Investment Company Act of 1940 and the Investment Advisers Act of 1940 — am l to understand that you mean not only the acts as they are now on the books, but as they would...
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Role of Giant Corporations: Hearings, Ninety-first Congress ..., Volumen2,Parte2

United States. Congress. Senate. Select Committee on Small Business. Subcommittee on Monopoly - 1969 - 1644 páginas
...until September 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. The Commission also serves as advisor to Federal courts in corporate reorganization proceedings under Chapter...
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Investment Company Amendments Act of 1969: Hearings Before the Committee on ...

United States. Congress. Senate. Committee on Banking and Currency - 1969 - 514 páginas
...following bill ; which was read twice and referred to the Committee on Banking and Currency A BILL To amend the Investment Company Act of 1940 and the Investment Advisers Act of 1940 to define the equitable standards governing relationships between investment companies and their investment...
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Investment Company Amendments Act of 1969, Hearings Before ..., 91-1 on S.34 ...

United States. Congress. Senate. Banking and Currency Committee - 1969 - 468 páginas
...following bill; which was referred to the Committee on Interstate and Foreign Commerce A BILL To amend the Investment Company Act of 1940 and the Investment Advisers Act of 1940 to define the equitable standards governing relationships between investment companies and (their investment...
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