Hearings, Reports and Prints of the Senate Committee on Banking and CurrencyU.S. Government Printing Office, 1967 - Banking law |
From inside the book
Results 1-5 of 100
Page xv
... representatives , by size of firm .. • Compensation of registered representatives by dependence on mutual fund income .. 584 585 Customer - directed give - ups paid and received by sample firms . Distribution of firms by degree of ...
... representatives , by size of firm .. • Compensation of registered representatives by dependence on mutual fund income .. 584 585 Customer - directed give - ups paid and received by sample firms . Distribution of firms by degree of ...
Page 10
... representatives -- wearing his other hat , can or will bargain effectively with him , much less actually shop around for competitive offers . In the absence of competition or arm's - length bargaining , the basic fiduciary obligation of ...
... representatives -- wearing his other hat , can or will bargain effectively with him , much less actually shop around for competitive offers . In the absence of competition or arm's - length bargaining , the basic fiduciary obligation of ...
Page 66
... representatives of the industry and been discussed with some members of the staff . The members of the staff concerned have expressed the view that they did not believe that this was something that would be acceptable to the Commission ...
... representatives of the industry and been discussed with some members of the staff . The members of the staff concerned have expressed the view that they did not believe that this was something that would be acceptable to the Commission ...
Page 96
... representatives have submitted proposals to the Commis- sion with respect to the basic sales load . The Investment Company Institute offered two " alternatives " to the Com- mission's proposal on advisory fees . The first " alternative ...
... representatives have submitted proposals to the Commis- sion with respect to the basic sales load . The Investment Company Institute offered two " alternatives " to the Com- mission's proposal on advisory fees . The first " alternative ...
Page 97
... representatives that this step in no way precluded further discussions and attempts to reach an accommodation with the industry that would deal effectively with the serious problems which the Commission believes exist in the area of ...
... representatives that this step in no way precluded further discussions and attempts to reach an accommodation with the industry that would deal effectively with the serious problems which the Commission believes exist in the area of ...
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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