Hearings, Reports and Prints of the Senate Committee on Banking and CurrencyU.S. Government Printing Office, 1967 - Banking law |
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Page 17
... ment Expense ment ( mil- ( thou- costs ratio cost lions ) sands ) ( thou- ( percent ) ratio sands ) ( per- cent ) 3. Tri - Continental Corp. 4. National Investors Corp .. 5. Lehman Corp. 11. Adams Express Co. 1. Massachusetts Investors ...
... ment Expense ment ( mil- ( thou- costs ratio cost lions ) sands ) ( thou- ( percent ) ratio sands ) ( per- cent ) 3. Tri - Continental Corp. 4. National Investors Corp .. 5. Lehman Corp. 11. Adams Express Co. 1. Massachusetts Investors ...
Page 72
... ment Company ; that the directors other than Bullock and Clark are " beholden " to them and the Management Company for placing them in such positions ; that Bullock , Clark and the Management Com- pany " dominate and control the Board ...
... ment Company ; that the directors other than Bullock and Clark are " beholden " to them and the Management Company for placing them in such positions ; that Bullock , Clark and the Management Com- pany " dominate and control the Board ...
Page 73
... ment was honest and considered , although the error might lead to civil liability for negligence . The charges in the com- plaint here go not so far as the first two cases but further than the last . [ 3,4 ] Although when the word ...
... ment was honest and considered , although the error might lead to civil liability for negligence . The charges in the com- plaint here go not so far as the first two cases but further than the last . [ 3,4 ] Although when the word ...
Page 74
... ment companies are organized , operated , managed in the interest of investment advisers # * * * # [ or ] of underwriters . " The section con- Icludes with a further declaration " that the policy and purposes of this subchap- ter , in ...
... ment companies are organized , operated , managed in the interest of investment advisers # * * * # [ or ] of underwriters . " The section con- Icludes with a further declaration " that the policy and purposes of this subchap- ter , in ...
Page 79
... ment advisors . I don't think that is just a slip of the tongue . Now , if you look at Judge Friendly's statement , he says in effect that means that the plaintiff has to prove not only that the fee is excessive , but that it is ...
... ment advisors . I don't think that is just a slip of the tongue . Now , if you look at Judge Friendly's statement , he says in effect that means that the plaintiff has to prove not only that the fee is excessive , but that it is ...
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advisory fees amendment amount average banks broker-dealers brokerage capital gains Chairman COHEN Commission's committee common stock compensation competition Congress contractual plan corporate costs court dealers distribution dividends economic effect equity Exchange Commission fact fee rates fiduciary firms front-end load Fund Plan Sponsors fund sales fund's gross growth holders income investment adviser Investment Company Act Investment Company Institute legislation load funds management fees Massachusetts Investors Trust ment million mutual fund industry mutual fund investors Mutual Fund Plan mutual fund shares NASD net asset value paid payments percent performance period persons planholders portfolio president profits proposal purchase question reasonable reduced reinvestment sales charges sales load salesmen sample Section 22(d securities business selling Senator BENNETT Senator MCINTYRE Senator PROXMIRE Senator WILLIAMS statement Stock Exchange substantial survey tion transactions unaffiliated directors voluntary plan Wellington Fund York Stock Exchange