Hearings, Reports and Prints of the Senate Committee on Banking and CurrencyU.S. Government Printing Office, 1967 - Banking law |
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Page 32
... regular basis , might not have too much immediate effect on these so - called captive sales organizations . Six large organizations of this type alone employ almost 20,000 salesmen , and the funds they sell account for about one ...
... regular basis , might not have too much immediate effect on these so - called captive sales organizations . Six large organizations of this type alone employ almost 20,000 salesmen , and the funds they sell account for about one ...
Page 42
... regular distributions of capital gains from distributions of investment income . I will not speak to each and every one of these as to the level of agreement . I think this is one as to which there is substantial agree- ment at least ...
... regular distributions of capital gains from distributions of investment income . I will not speak to each and every one of these as to the level of agreement . I think this is one as to which there is substantial agree- ment at least ...
Page 81
... regular directors ' applecart ? Mr. COHEN . I have never heard of it in my 25 - odd years in associ- ation with these funds . Senator WILLIAMS . Have you known any that tried ? Mr. COHEN . Well , there may have been some that I am not ...
... regular directors ' applecart ? Mr. COHEN . I have never heard of it in my 25 - odd years in associ- ation with these funds . Senator WILLIAMS . Have you known any that tried ? Mr. COHEN . Well , there may have been some that I am not ...
Page 99
... regular broker for such registered company ; and ( B ) any person who ( i ) is , or controls , the bene- ficial owner of securities issued by or any interest in the investment adviser of , or principal underwriter or regular broker for ...
... regular broker for such registered company ; and ( B ) any person who ( i ) is , or controls , the bene- ficial owner of securities issued by or any interest in the investment adviser of , or principal underwriter or regular broker for ...
Page 106
... regular ac- countholder the annual participation cost as a percent of net asset value was 1.21 percent , while the annual cost for a regular brokerage accountholder was 1.59 percent . The annual participation cost to the median mutual ...
... regular ac- countholder the annual participation cost as a percent of net asset value was 1.21 percent , while the annual cost for a regular brokerage accountholder was 1.59 percent . The annual participation cost to the median mutual ...
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Common terms and phrases
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