Hearings, Reports and Prints of the Senate Committee on Banking and CurrencyU.S. Government Printing Office, 1967 - Banking law |
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Page 6
... problems raised in our report . For example - and I will deal with this later a little more fully- the Investment ... problem . One effect of that proposal would really be to put the so - called independent directors on trial rather ...
... problems raised in our report . For example - and I will deal with this later a little more fully- the Investment ... problem . One effect of that proposal would really be to put the so - called independent directors on trial rather ...
Page 7
... problems . Nevertheless , from the outset we have believed it desirable to bring to the attention of the committee the range of alternative proposals for solution of these problems which have come to our attention . We , therefore ...
... problems . Nevertheless , from the outset we have believed it desirable to bring to the attention of the committee the range of alternative proposals for solution of these problems which have come to our attention . We , therefore ...
Page 21
... problem is a cautious one , and , I might say , a genuinely conservative one . Some thoughtful commenta- tors have proposed that only a restructuring of the industry by forced internalization of the investment advisory function will be ...
... problem is a cautious one , and , I might say , a genuinely conservative one . Some thoughtful commenta- tors have proposed that only a restructuring of the industry by forced internalization of the investment advisory function will be ...
Page 35
... problem , it seems almost inevitable , given the financial incentives involved , that this will occur more often than it should and more often than the sponsors would like to see it . There is another interesting aspect of this front ...
... problem , it seems almost inevitable , given the financial incentives involved , that this will occur more often than it should and more often than the sponsors would like to see it . There is another interesting aspect of this front ...
Page 49
... problem . But now I have heard two versions of the industry view . One version was that they didn't like private litigation ; that is , liti- gation brought by private persons ; that , while they didn't like the Commission either , it ...
... problem . But now I have heard two versions of the industry view . One version was that they didn't like private litigation ; that is , liti- gation brought by private persons ; that , while they didn't like the Commission either , it ...
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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