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" ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title. "
Annual Report of the SEC. - Página 109
por United States. Securities and Exchange Commission - 1963
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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
...provision or provisions of this title or of any rule or regulation thereunder, if and to the extent that such exemption is necessary or appropriate in the...consistent with the protection of investors and the purOQ "" poses fairly intended by the policy and provisions of this 24 title." 25 SEC. 27. (a) Section...
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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
...provision or provisions of this title or of any rule or regulation thereunder, if and to the extent that such exemption is necessary or appropriate in the...consistent with the protection of investors and the purO-3 poses fairly intended by the policy and provisions of this 24 title." 25 SEO. 27. (a) Section...
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Independent Offices and Department of Housing and Urban Development ..., Parte2

United States. Congress. House. Committee on Appropriations. Subcommittee on Independent Offices and Dept. of Housing and Urban Development - 1969 - 1354 páginas
...Is necessary or proprtate in the public interest and consistent with the protection of Investors d the purposes fairly intended by the policy and provisions of the Act. Other Actions, such as 6(d), 9(b), 10(f), 17(b), 17(d) and 23(c), contain specific J_" ovislons and standards...
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High Interest Rates, Hearings Before ..., 91-1 ..., March 25 and 26, and ...

United States. Congress. Senate. Committee on Banking and Currency - 1969 - 142 páginas
...relatively higher operating costs and that in order to make due allowance therefor it is necessary or appropriate in the public interest and consistent with the protection of investors that a provision or provisions of paragraph (1), (2), or (3) of subsection (a) relative to sales load...
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Mutual Fund Amendments: Hearings, Ninety-first Congress, First Session, on H ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance - 1970 - 450 páginas
...HUSNEY. Reading on where you stopped, after the word "thereunder," it reads: If and to the extent that such exemption is necessary or appropriate In the...purposes fairly intended by the policy and provisions of this title. First, I would say that the provisions of this title were not intended to apply to our...
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Decisions and Reports, Volumen21

United States. Securities and Exchange Commission - 1952 - 968 páginas
...application of Section 17 (b) to this case. Section 6 (c) provides for such exemptions only when "necessary or appropriate in the public interest and consistent...purposes fairly intended by the policy and provisions of this title." Section 6 (c) thus remits us to the provisions of the Act specifically governing the kind...
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Small Business Investment: Hearings Before the Subcommittee on Consumer ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Consumer Protection and Finance - 1979 - 302 páginas
...event, if a particular occasion should arise in which it can be demonstrated that it is necessary and appropriate in the public interest and consistent with the protection of investors and the purposes of the Investment Company Act to grant on investment banker an exemption from the provisions of Section...
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Federal Securities Laws and Small Business Legislation: Hearings Before the ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - 1980 - 852 páginas
...Act]." Exercise of this authority is governed only by the following standard: "if and to the extent that such exemption is necessary or appropriate in the...intended by the policy and provisions of [the Act]." 16 The Commission has required applicants under Section 3(b)(2) to prove that they are "primarily engaged"...
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Money Market Mutual Funds: Hearings Before the Subcommittee on Financial ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Financial Institutions - 1980 - 1240 páginas
...provides that che SEC may exempt plaintiff from the application of tlw Release if and to the extent that such exemption is necessary or appropriate in the public interest and consistent with the protec« 96,287 tion of investors and the purposes fairly intended by the policy and provision«...
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Financial Institutions Restructuring and Services Act of 1981: hearing ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs - 1981 - 1192 páginas
...Internal Revenue Code of 1954, if and to the extent that the Commission determines this to be necessary or appropriate in the public interest and consistent...purposes fairly intended by the policy and provisions of this title." Sec. 2. That section 3(a)(5) of the Securities Act of 1933 (15 USC S77c(a)(5)) is amended...
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