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" 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... "
Annual Report of the SEC. - Página 194
por United States. Securities and Exchange Commission - 1963
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Hearings, Reports and Prints of the Senate Select Committee on Small Business

United States. Congress. Senate. Select Committee on Small Business - 1966
...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...
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Government Procurement, 1966: Hearing, Eighty-ninth Congress, Second Session ...

United States. Congress. Senate. Committee on Small Business. Subcommittee on Government Procurement, United States. Congress. Senate. Select Committee on Small Business - 1966 - 260 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...
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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 - 117 páginas
...statement explains the legislative proposals recommended by the Securities and Exchange Commission to amend the Investment Company Act of 1940 and the Investment Advisers Act of 1940. They would provide additional protection for investment company shareholders in areas where the tremendous...
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Mutual Fund Legislation of 1967: Hearings, Ninetieth Congress ..., Partes1-2

United States. Congress. Senate. Committee on Banking and Currency - 1967 - 1207 páginas
..._______ 94 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 _______ ....... .. 311 Statistics on accounts making payments of only 1 to 36 and...
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Bank Underwriting of Revenue Bonds: Hearings, Ninetieth Congress, First ...

United States. Congress. Senate. Committee on Banking and Currency. Subcommittee on Financial Institutions - 1967 - 361 páginas
...regulation as dealers or brokers under the Securities Exchange Act of 1934 and they could be exempted from the Investment Company Act of 1940 and the Investment Advisers Act of 1940. The essential point of the protective legislation of the early 1930's was to establish the principle...
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Mutual Fund Legislation of 1967, Hearings Before ..., 90:1- ....

United States. Congress. Senate. Committee on Banking and Currency - 1967
...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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Agency Hearings: Hearing[s]

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1967 - 846 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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Bank Underwriting of Revenue Bi: Hearings Before the Subcommitte on ...

United States. Congress. Senate. Banking and Currency Committee - 1967 - 361 páginas
...regulation as dealers or brokers under the Securities Exchange Act of 1934 and they could IIP exempted from the Investment Company Act of 1940 and the Investment Advisers Act of 1940. The essential point of the protective legislation of the early 1930's was to establish the principle...
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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 - 117 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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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 - 169 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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