Investment Trusts and Investment Companies: Hearings Before a Subcommittee of the Committee on Banking and Currency, United States Senate, Seventy-sixth Congress, Third Session, on S. 3580, a Bill to Provide for the Registration and Regulation of Investment Companies and Investment Advisers, and for Other Purposes. April 2, 3, 4, 5, 8, 9, and 10, 1940, Part 3 |
From inside the book
Results 1-5 of 100
Page
... matter of H. M. Byllesby & Co .. 8888 93 94 ཡུལ་ 95 109 Chart submitted by Securities and Exchange Commission entitled " Equity Corporation " . 123 Opinion of the Securities and Exchange Commission in the matter of T. I. S. Management ...
... matter of H. M. Byllesby & Co .. 8888 93 94 ཡུལ་ 95 109 Chart submitted by Securities and Exchange Commission entitled " Equity Corporation " . 123 Opinion of the Securities and Exchange Commission in the matter of T. I. S. Management ...
Page 24
... matters to which this title relates . The Commission may require or permit any person to file with it a statement in writing , under oath or otherwise as it shall determine , as to any or all facts and circumstances con- cerning a matter ...
... matters to which this title relates . The Commission may require or permit any person to file with it a statement in writing , under oath or otherwise as it shall determine , as to any or all facts and circumstances con- cerning a matter ...
Page 25
... matter under investigation or in question ; and any failure to obey such order of the court may be punished by such court as a contempt thereof . All process in any such case may be served in the judicial district whereof such person is ...
... matter under investigation or in question ; and any failure to obey such order of the court may be punished by such court as a contempt thereof . All process in any such case may be served in the judicial district whereof such person is ...
Page 35
... matter of concern to representatives of the investment company industry , stock exchanges , financial writers , and governmental bodies from the early period of their existence in this country . The potential dangers of these ...
... matter of concern to representatives of the investment company industry , stock exchanges , financial writers , and governmental bodies from the early period of their existence in this country . The potential dangers of these ...
Page 53
... matter ? Mr. SCHENKER . Maybe I am to blame a little for that . I have listened to statisticians a little too much , and if you ever had anything to do with a statistician you will know the meticulous care with which they want to ...
... matter ? Mr. SCHENKER . Maybe I am to blame a little for that . I have listened to statisticians a little too much , and if you ever had anything to do with a statistician you will know the meticulous care with which they want to ...
Other editions - View all
Common terms and phrases
abuses affiliated person amount asset value bank believe bill board of directors bonds broker Byllesby capital certificate clients committee common stock contract dividends effect Exchange Commission existing face-amount certificate company fact firm Founders funds Goldman Sachs hearings holding company industry interest investment adviser investment banker investment counsel investment trust issue issuer Judge Healy legislation Massachusetts Investors Trust matter ment company officers open-end companies operation organized outstanding panies percent portfolio practice preferred stock present problem profits prohibition provision purchase question registered investment company rules and regulations SCHENKER Securities Act Securities and Exchange security holders sell Senator HUGHES Senator TAFT Senator WAGNER chairman senior securities shareholders shares situation sold Standard stockholders subcommittee thing tion transactions underwriting unit investment trust voting trust York Stock Exchange
Popular passages
Page 24 - Hearings may be public and may be held before the Commission, any member or members thereof, or any officer or officers of the Commission designated by it, and appropriate records thereof shall be kept.
Page 24 - System, notwithstanding that such rule or regulation may, after such act or omission, be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.
Page 32 - ... (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in...
Page 643 - director " means any director of a corporation or any person performing similar functions with respect to any organization, whether incorporated or unincorporated.
Page 109 - ... as to make it necessary or appropriate in the public interest or for the protection of investors or consumers that the applicant be subject to the obligations, duties, and liabilities imposed in this title upon subsidiary companies of holding companies.
Page 109 - Public-utility company" means an electric utility company or a gas utility company. (6) "Commission" means the Securities and Exchange Commission. (7) "Holding company" means— (A) any company which directly or indirectly owns, controls, or holds with power to vote...
Page 31 - ... (1) any person who within ten years has been convicted of any felony or misdemeanor involving the purchase or sale of any security or arising out of such person's conduct as an underwriter, broker, dealer, or investment adviser...
Page 25 - ... and any failure to obey such order of the court may be punished by such court as a contempt thereof. All process in any such case may be served in the judicial district whereof such person is an inhabitant or wherever he may be found.
Page 25 - Commissioner, on the ground that the testimony or evidence (documentary or otherwise) required of him may tend to incriminate him or subject him to a penalty or forfeiture...
Page 244 - No provision of this title imposing any liability shall apply to any act done or omitted in good faith in conformity with any rule, regulation, or...