Compilation of Securities Laws Within the Jurisdiction of the Committee on Commerce: Including Securities Act of 1933, Securities Exchange Act of 1934 ..., Volume 4 |
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Page 6
... investment company registered under the Investment mpany Act of 1940 or a business development company defined in section 2 ( a ) ( 48 ) of that Act ; a Small Business estment Company licensed by the Small Business Ad- nistration ; or ...
... investment company registered under the Investment mpany Act of 1940 or a business development company defined in section 2 ( a ) ( 48 ) of that Act ; a Small Business estment Company licensed by the Small Business Ad- nistration ; or ...
Page 49
... Investment Company Act of 19 ( 20 ) The terms " investment adviser " and " underwrit have the same meanings as in the Investment Advisers Act 1940 . ( 21 ) The term " persons associated with a member ” or “ sociated person of a member ...
... Investment Company Act of 19 ( 20 ) The terms " investment adviser " and " underwrit have the same meanings as in the Investment Advisers Act 1940 . ( 21 ) The term " persons associated with a member ” or “ sociated person of a member ...
Page 102
... investment discretion the Commission , by rule , prescr stitutional investment manager which uses the is or instrumentality of interstate commerce in isiness as an institutional investment manager s investment discretion with respect to ...
... investment discretion the Commission , by rule , prescr stitutional investment manager which uses the is or instrumentality of interstate commerce in isiness as an institutional investment manager s investment discretion with respect to ...
Page 103
... investment manager exercises investment discretion such of the following information as the Commission , by rule , prescribes- ( A ) the name of the issuer and the title , class , CUSIP number , number of shares or principal amount ...
... investment manager exercises investment discretion such of the following information as the Commission , by rule , prescribes- ( A ) the name of the issuer and the title , class , CUSIP number , number of shares or principal amount ...
Page 104
... investment managers exercise investment discretion , and ( B ) consistently with the objective set forth in the preceding subpara- graph , to avoid unnecessarily duplicative reporting by , and mini- mize the compliance burden on ...
... investment managers exercise investment discretion , and ( B ) consistently with the objective set forth in the preceding subpara- graph , to avoid unnecessarily duplicative reporting by , and mini- mize the compliance burden on ...
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Common terms and phrases
action amount application appropriate regulatory agency assets authority bank Board broker or dealer broker or government business development company centum certificate clearing agency Commis Commission contract court curities debtor deemed determines director effect employee enforcement exempt face-amount certificate company Federal Reserve System filed foreign government securities broker government securities dealer holding company indenture securities investment adviser issuer istered jurisdiction limited partnership ment municipal securities dealer national securities exchange necessary or appropriate officer otherwise paragraph participant payment penalty penny stocks person associated proceeding protection of investors provisions public interest purchase purposes pursuant to section reasonable registered investment company registration statement regulations thereunder request respect rities rule or regulation rules and regulations secu Securities Act self-regulatory organization sion SIPC specified spect subparagraph subsection term thereof tion transaction transfer agent trustee underwriter unit investment trust United States Code unlawful violation