sec docket Volume 8,No.11 December 30,1975 |
From inside the book
Results 1-3 of 81
Page 9
... ACT DECLARING THAT COMPANY HAS CEASED TO BE AN INVESTMENT COMPANY Fiduciary Income Shares, Inc. (“Applicant"), an open-end diversified management investment company registered under the Investment Company Act of 1940 ("Act"), filed an ...
... ACT DECLARING THAT COMPANY HAS CEASED TO BE AN INVESTMENT COMPANY Fiduciary Income Shares, Inc. (“Applicant"), an open-end diversified management investment company registered under the Investment Company Act of 1940 ("Act"), filed an ...
Page 9
... Act be, and hereby is, granted, effective forthwith. By the Commission. George A. Fitzsimmons Secretary INVESTMENT COMPANY ACT OF 1940 Release No. 9106/December 31, 1975 In the Matter of DF FUND, INC. 30 Wall Street New York, New York ...
... Act be, and hereby is, granted, effective forthwith. By the Commission. George A. Fitzsimmons Secretary INVESTMENT COMPANY ACT OF 1940 Release No. 9106/December 31, 1975 In the Matter of DF FUND, INC. 30 Wall Street New York, New York ...
Page 3
... Investment Advisers Act of 1940 ("Act"). The proposed rule was intended to provide guidelines with respect to the applicability of the Act's definition of "investment adviser" to persons controlling registered investment advisers and ...
... Investment Advisers Act of 1940 ("Act"). The proposed rule was intended to provide guidelines with respect to the applicability of the Act's definition of "investment adviser" to persons controlling registered investment advisers and ...
Common terms and phrases
Act and Rule American Stock Exchange application assets Bank Bonds broker or dealer broker-dealer brokers and dealers capital commercial paper Commission's common stock contract customers December delegated authority Eutaw Exchange Act Release Exchange Commission exemption Federal Register fees financial statements Fitzsimmons Secretary SECURITIES Fund George hereby HOLDING COMPANY ACT income interested persons Investment Company Act investors issued Lease market makers Matter ment NASD national securities exchange North Capitol Street NOTICE OF FILING NYSE offer options order a hearing over-the-counter OWNERSHIP EQUITY Penelec post-effective amendment proceedings promulgated proposed rule change proposed transaction PUBLIC UTILITY HOLDING pursuant to delegated pursuant to Section Regulation rules thereunder Secretary SECURITIES EXCHANGE Section 8(f Securities Act Securities and Exchange Securities Exchange Act separate account shares Stock Exchange suant submission subsidiary thereof tion underwriter UTILITY HOLDING COMPANY violations Washington Wilsonville York Stock Exchange