Hearings, Reports and Prints of the Senate Committee on Banking and CurrencyU.S. Government Printing Office, 1967 - Banking law |
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Page 31
... selling securities . Now , these figures are the obverse of what I have said . They explain the prevalence of part - timers and the high turnover rate among sales- men selling mutual funds . We have already adverted to the view that the ...
... selling securities . Now , these figures are the obverse of what I have said . They explain the prevalence of part - timers and the high turnover rate among sales- men selling mutual funds . We have already adverted to the view that the ...
Page 35
... selling the same dollar amount of mutual fund shares at the sales load applicable to a lump- sum purchase and to installment purchases under a voluntary plan on which no front - end load is charged . Thus , they have an incentive to ...
... selling the same dollar amount of mutual fund shares at the sales load applicable to a lump- sum purchase and to installment purchases under a voluntary plan on which no front - end load is charged . Thus , they have an incentive to ...
Page 59
... selling the mutual funds . Can you give me a notion of how big a field this is , how many peo- ple are involved ? How many mutual fund salesmen are there ? Mr. COHEN . It has been estimated there are 50,000 - this is a very rough ...
... selling the mutual funds . Can you give me a notion of how big a field this is , how many peo- ple are involved ? How many mutual fund salesmen are there ? Mr. COHEN . It has been estimated there are 50,000 - this is a very rough ...
Page 101
... selling techniques and the recruiting , qualifications , training and supervision of salesmen and , if then found to be necessary , the development of appropriate standards and regulatory measures . It will be remembered that criticisms ...
... selling techniques and the recruiting , qualifications , training and supervision of salesmen and , if then found to be necessary , the development of appropriate standards and regulatory measures . It will be remembered that criticisms ...
Page 103
... selling so long as the commission he receives are worth the effort involved . Since the occupation does not require a great deal of skill or educa- tion , persons whose earning power is not great in other fields will continue to enter ...
... selling so long as the commission he receives are worth the effort involved . Since the occupation does not require a great deal of skill or educa- tion , persons whose earning power is not great in other fields will continue to enter ...
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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