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 |
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Page 2
... organized , operated , or managed in the interest of directors , officers , managers , investment advisers , depositors , or other affiliated persons thereof , in the interest of underwriters , brokers , or dealers , in the interest of ...
... organized , operated , or managed in the interest of directors , officers , managers , investment advisers , depositors , or other affiliated persons thereof , in the interest of underwriters , brokers , or dealers , in the interest of ...
Page 4
... organized under the laws of the United States or of a State . ( 2 ) Any company organized under the laws of and having its principal office and place of business in Alaska , Hawaii , Puerto Rico , the Philippine Islands , the Canal Zone ...
... organized under the laws of the United States or of a State . ( 2 ) Any company organized under the laws of and having its principal office and place of business in Alaska , Hawaii , Puerto Rico , the Philippine Islands , the Canal Zone ...
Page 6
... organized under the laws of the United States or of a State , and no underwriter for a company otherwise organized , shall make use of the mails or any means or instrumentality of interstate commerce , directly or indirectly , to offer ...
... organized under the laws of the United States or of a State , and no underwriter for a company otherwise organized , shall make use of the mails or any means or instrumentality of interstate commerce , directly or indirectly , to offer ...
Page 9
... organized on or after March 1 , 1940 , to serve or act as director , officer , manager , investment adviser , depositor , trustee , or principal underwriter of or for such company , if within five years such person , or any company of ...
... organized on or after March 1 , 1940 , to serve or act as director , officer , manager , investment adviser , depositor , trustee , or principal underwriter of or for such company , if within five years such person , or any company of ...
Page 10
... - short- any reg N or fo of сс 48288 al di re со ar St se total Crest- mpany , 000 000 . * - 8 konzer ང་ rentes inacce ericiate smpanies , encei a pargraphs 1 . ( d ) No registered investment company organized after March 8 ANIES.
... - short- any reg N or fo of сс 48288 al di re со ar St se total Crest- mpany , 000 000 . * - 8 konzer ང་ rentes inacce ericiate smpanies , encei a pargraphs 1 . ( d ) No registered investment company organized after March 8 ANIES.
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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...