Investment Trusts and Investment Companies, Hearings Before a Subcommittee of ..., 76:3 on S. 3580 .... |
From inside the book
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Page 5
... sell exclusively for cash any security of which it is the issuer , except short - term paper and ordinary receiver's or trustee's certificates . ( b ) Upon application by any employees ' securities company , the Commission shall be ...
... sell exclusively for cash any security of which it is the issuer , except short - term paper and ordinary receiver's or trustee's certificates . ( b ) Upon application by any employees ' securities company , the Commission shall be ...
Page 6
... sell or purchase for the account of such trust , by use of the mails or any means or instrumentality of interstate commerce , any security or interest in a security , by whomever issued . ( c ) No promoter of a proposed investment ...
... sell or purchase for the account of such trust , by use of the mails or any means or instrumentality of interstate commerce , any security or interest in a security , by whomever issued . ( c ) No promoter of a proposed investment ...
Page 12
... sell any security or other property to such registered company or an affiliated company thereof ( unless such sale consists solely of ( A ) the redemption of redeemable securities by their issuer , or ( B ) the deposit of securities ...
... sell any security or other property to such registered company or an affiliated company thereof ( unless such sale consists solely of ( A ) the redemption of redeemable securities by their issuer , or ( B ) the deposit of securities ...
Page 16
... sell any security of which it is the issuer , in contravention of such rules and regulations or orders as the Commission may prescribe in the public interest or for the protection of investors to prevent or limit such issuance or sale ...
... sell any security of which it is the issuer , in contravention of such rules and regulations or orders as the Commission may prescribe in the public interest or for the protection of investors to prevent or limit such issuance or sale ...
Page 17
... sell , or deliver after sale , pursuant to any such plan , any security or other property ; ( 3 ) for any person to submit any such plan to any court of the United States for approval ; or ( 4 ) for any court of the United States to ...
... sell , or deliver after sale , pursuant to any such plan , any security or other property ; ( 3 ) for any person to submit any such plan to any court of the United States for approval ; or ( 4 ) for any court of the United States to ...
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 diversified investment company dividends Exchange Commission face-amount certificate company fact firm Founders funds hearings holding company industry 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 president profits prohibition provision purchase question registered investment company rules and regulations SCHENKER Securities Act Securities and Exchange securities finance security holders sell Senator HUGHES Senator TAFT Senator WAGNER chairman senior securities shareholders shares situation sold Standard stockholders subcommittee thing tion transactions type of company underwriter unit investment trust voting trust York Stock Exchange
Popular passages
Page 242 - Commission, 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 22 - Commission may investigate any facts, conditions, practices, or matters which it may find necessary or proper in order to determine whether any person has violated or is about to violate...
Page 22 - 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 23 - Act, he may make application to the appropriate court for an order enjoining such acts or practices, or for an order enforcing compliance with such provision, and upon a showing by the President that such person has engaged or is about to engage in any such acts or practices a permanent or temporary injunction, restraining order, or other order shall be granted without bond.
Page 30 - ... (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 107 - ... 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 174 - SEC. 326. Except as otherwise expressly provided, nothing in this title shall affect (1) the jurisdiction of the Commission under the Securities Act of 1933, or the Securities Exchange Act of 1934, or...
Page 107 - 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 29 - ... (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 23 - ... 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.