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 25
... underwriter . It is difficult to exaggerate the significance of section 22 ( d ) . It permits the fund's principal underwriters to fix sales charges and then requires the Federal Government to enforce adherence to those prices by every ...
... underwriter . It is difficult to exaggerate the significance of section 22 ( d ) . It permits the fund's principal underwriters to fix sales charges and then requires the Federal Government to enforce adherence to those prices by every ...
Page 28
... underwriters , moreover , incur market risks because they are generally obligated to buy and to pay for the ... underwriters of other types of securities . If you go beyond the underwriters to the dealer in the distribution of shares ...
... underwriters , moreover , incur market risks because they are generally obligated to buy and to pay for the ... underwriters of other types of securities . If you go beyond the underwriters to the dealer in the distribution of shares ...
Page 32
... underwriters to materialize . It hasn't , and I'm sorry to say it shows no sign of materializing . F. THE COMMISSION'S PROPOSAL This brings us to the question of an appropriate remedy . One answer that comes to mind , and in many ...
... underwriters to materialize . It hasn't , and I'm sorry to say it shows no sign of materializing . F. THE COMMISSION'S PROPOSAL This brings us to the question of an appropriate remedy . One answer that comes to mind , and in many ...
Page 70
... underwriter and sole distributor . The amended complaint , summarily stated , charges that the Fund has been harmed by payments to the Management Company under the investment advisory contract and the underwriting contract , that are ...
... underwriter and sole distributor . The amended complaint , summarily stated , charges that the Fund has been harmed by payments to the Management Company under the investment advisory contract and the underwriting contract , that are ...
Page 86
... underwriter company to establish the agent's fee ? Mr. COHEN . Yes , he establishes the gross load , that is divided by contract between the underwriter and the dealer ; and the dealer then divides with the salesmen . Senator MONDALE ...
... underwriter company to establish the agent's fee ? Mr. COHEN . Yes , he establishes the gross load , that is divided by contract between the underwriter and the dealer ; and the dealer then divides with the salesmen . Senator MONDALE ...
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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