...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...

...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...

...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...

..._______ 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...

...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...

...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) ....

...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...

...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...

...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...

...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...