Roach, Cornelius, chairman, Association of Mutual Fund Plan Sponsors, Rothing, Frank, senior vice president, Midwest Stock Exchange-- Simpson, Murray L., executive vice president and general counsel, William Soukup, Father Gervase J., professor of economics, St John's University, Page 372 642 347 791, 794 269 872 892 642 Steadman, Charles W., chairman of the board and president, Steadman Tyrone, Anthony R., president, Hamilton Management Corp- 186, 295 Williams, Francis S., chairman, Board of Governors, Investment Company MISCELLANEOUS, STATEMENTS, LETTERS AND DATA 186, 277 673 Arizona Corporation Commission, letter to the Association of Mutual 535 Arkansas State Bank Department, letter to the Association of Mutual 536 Arthur D. Little, Inc., letter from Robert J. Fahey to Senator Sparkman 334 Arkin, Herbert: Paper entitled "Analysis of a Survey of Early Redeemers of 488 Paper entitled "Analysis of Survey Data in Report of Special 492 Paper entitled, "Payment Persistency in Mutual Fund Payment Georgia, State of, Office of the Secretary of State... Washington, State of, Division of Professional Licensing. Letter to SEC giving outline of proposals made in response to various criticism of contractual plans... 101 Pamphlet entitled, “The Origin and History of the Contractual Plan, submitted for the record__. 405 Polakoff, Murray E., prepared statement of.. 539 Questions submitted by Senator Bennett. 395 Questions submitted by Senator Sparkman and the answers received 398 Association of Mutual Fund Sponsors, Inc.-Continued Report entitled "Survey of Mutual Fund Shareholders-January Report entitled "Survey of Early Redeemers of Mutual Fund Con- Roach, Cornelius: Letter from J. F. Stephens. Letter to Senator Bennett. Page 457 483 1059 395 Survey of Mutual Fund Shareholders-January 1966, by Benson & Benson, Inc. 457 Association of Stock Exchange Firms, statement of 959 Bache & Co., Inc., letters and statement on proposed mutual fund legislation_ 962 Baum, Daniel Jay, professor, Indiana University, School of Law, submitted statement.. 966 B. C. Morton Fund, Inc., letter to Senator Bennett, from James F. Coogan, president 1129 Benson & Benson, Survey of Mutual Fund Shareholders-January 1966__ 457 658 Article submitted from Denver Post entitled "Professors Organize to Letter to Donald E. Schwartz, associate professor of law, Georgetown California, University of, Law School, letter from Professor Jennings to 1028 Chamber of Commerce of the United States, statement of Harry W. 808 Channing Co., Inc.: Letter to Senator Aiken....... 976 Letter to Senator McIntyre from Thomas Martin correcting testi- Clark, Dodge & Co., letter to Congressman Ludlow Ashley.. 985 Colorado, State of, Division of Securities, letter to the Association of 536 Columbia Journal of Law and Social Problems, article entitled "Manage- 234 985 Conwill, Allan F., article entitled "Something Other Than Mutual Fund," observations on "Public Policy Implications of Investment Company Growth" 256 Council of Economic Advisers, letter to Senator Sparkman, giving views on S. 1659. Distributors Group, Inc., letter to Senator Bennett, from Herbert R. 1093 Ebert, Lloyd M., letter to Senator Sparkman_. 1095 Edward D. Jones & Co.: Letter to James F. Burns, Jr., New York Stock Exchange_ Ehli & Hughes, Inc., Billings, Mont., letters to Senator Mansfield_ Page 1030 1030 997 787 1095 Federated Investors, Inc., letter to Senator Bennett, from John F. Donahue president... 1095 Fidelity Management and Research Co., statement of Edward C. Johnson 2d, president.... 1120 Financial Analysts Journal, article entitled "What's Happening to Mutual 1169 Financial Planning Services, Inc., letter to Senator Mansfield_ 998 First Alabama Securities Inc., letter to Senator Sparkman, from Philip 1096 First Investors Corp., letter to Carl A. Harris, from Joseph M. O'Brien, vice president... 372 First Multifund of America Inc., prepared statement of Milton Mound, president. 885 Folk, Ernest L., III, professor of law, University of North Carolina: Franklin Custodian Funds, Inc., letter to Senator Bennett, from Philip 1097 Franklin Distributors Inc., letter to Senator Bennett, from Charles B. 1098 Friend, Dr. Irwin, prepared statement of 682 Friendly, Henry J., Circuit Judge, United States Court of Appeals, Georgia, Secretary of State, letter to the Association of Mutual Fund 537 Georgetown University Law Center, letter to Senator Sparkman from 1017 Greater Washington Industrial Investments, Inc., letter to Senator 1018 Greenwood, Philip D., statement of. 1111 Hale, Delos, W., Pocatello, Idaho, letter to Senator Church___. Hayden, Miller & Co., Cleveland, Ohio, letter to the committee_ 1021 1115 Herman, Edward, professor, University of Pennsylvania, prepared state ment.. 722 Hubshman Fund, Inc.: Article from New York Times entitled "Market Place: A Mutual 1026 Letter to the committee. 1023 Indiana University, School of Law, submitted statement of Prof. Daniel 966 Industrial Engineering College, letter to Senator Sparkman.. 1027 1116 Investment Bankers Association, prepared statement of Mr. H. Lawrence Augenblick, Robert L., president: Article by Allan F. Conwill entitled "Something Other Than Article in the Columbia Journal of Law and Social Problems Page 621 256 234 323, 324 Letter and memorandum submitted to Senator Sparkman re- Letter and suggestions for amendment to section 15 of the Letter to Senator McIntyre.. Paper by Sidney Robbins entitled "Implications of the Rate- 320 98 100 327 211 248 Position of Investment Company Institute with regard to certain 311 307 Demmler Ralph H., statement of 337 Fahey, Robert J.: Letter to Senator Sparkman commenting on testimony of Prof. 334 Statement on behalf of the Investment Company Institute.___. Haire, John E., statement of___. 328 302 Markham, Jesse, professor of antitrust economics, Princeton Uni- 336 295 277 Letter and additional information submitted for the record at 283 285 Attachment B-Range of investment performance for 169 285 Attachment C-Number of funds with net sales or net 286 Attachment D-Amended chart showing investment per- 287 Attachment E-Charts showing results of investment for 288 294 Letter to Senator Proxmire, correcting error that appeared in 295 Investment Company of America, prepared statement of James D. 830 Prepared statement.. Investment Counsel Sponsored No-load Funds: Page Additional statement of Ronald T. Lyman, Jr.. 871 Attachment to statement of Mr. Ronald T. Lyman, Jr.. 870 863 Investment Trust of Boston, letter to Senator Bennett, from Ralph S. Investors Diversified Services, Inc., prepared statement of Robert M. 1116 771, 1180 Jackson H. Welch Investments, letter to Manuel F. Cohen, Chairman, Jennings, Richard W., professor of law, University of California, at Berkeley: 1117 718 719 Keesling, Mrs. Chet, letter to Senator Sparkman.. 1125 Kelly & Morey, Inc., letter to Senator Moss-- 1032 Keystone Custodian Funds, Inc., prepared statement of Wilfred Godfrey, chairman and president.. 860 K. N. Rink Co., statement with exhibits to the committee. 1041 Kurtz, Godfrey H., president, Industrial Engineering College, letter to 1027 Levy, Leon, article entitled "Has the SEC Forgotten Its Economics?". 1131 1032 Letter from Ray Christensen.. Ludcke, G. L., article entitled "The Human Side of the SEC Mutual Newspaper article with tables concerning mutual funds.. Lishan, John M., associate professor of finance, USC, letter to Senator McIntyre, Thomas J., U.S. Senator from the State of New Hampshire, Manhattan Fund, Inc., letter to Senator Bennett, from Gerald Tsai, Jr.-- Massachusetts Investors Trust, letter to Senator Sparkman from John 1110 977 979 1053 803 1125 186 347 1126 Measures of advisory fees rates, memorandum submitted by the SEC... 1129 Midwest Stock Exchange, prepared statement of James E. Day, president.. 654 1163 Mutual Funds Advisory, Inc., statement of Victor H. Polk, executive vice president.. 784 Mutual funds from the investors viewpoint, by Stuart B. Mead, additional data submitted by the SEC. 177 Mutual fund investment results compared to the results achieved from investments in the common stocks favored by small investors, additional data submitted by the SEC... 175 Naisby Associates: Article from Investment Sales Monthly, October 1966 entitled "Lessen the Load With Service". Memorandum commenting upon the suggestion that section 22(d) be 600 NASD history, organizational background and functions... 577 578 National Association of Small Business Investment Companies, letter to 1039 New Mexico, State of, Department of Banking, letter to the Association of 537 |