Hearings, Reports and Prints of the Senate Committee on Banking and Currency, Parts 1-4U.S. Government Printing Office, 1940 - Banking law |
From inside the book
Results 1-5 of 100
Page
United States. Congress. Senate. Committee on Banking and Currency. INVESTMENT COMPANIES KF 26 B3 1940 HEARINGS BEFORE A SUBCOMMITTEE OF THE COMMITTEE ON BANKING AND CURRENCY UNITED STATES SENATE SEVENTY - SIXTH CONGRESS THIRD SESSION ON ...
United States. Congress. Senate. Committee on Banking and Currency. INVESTMENT COMPANIES KF 26 B3 1940 HEARINGS BEFORE A SUBCOMMITTEE OF THE COMMITTEE ON BANKING AND CURRENCY UNITED STATES SENATE SEVENTY - SIXTH CONGRESS THIRD SESSION ON ...
Page 8
... banker or broker , if such person is a director , officer , or manager of an investment company which is not in the ... banker , a broker , or an affiliated person of an investment banker or broker . ( f ) It shall be unlawful for any ...
... banker or broker , if such person is a director , officer , or manager of an investment company which is not in the ... banker , a broker , or an affiliated person of an investment banker or broker . ( f ) It shall be unlawful for any ...
Page 35
... banking laws and be subject to the supervision of the State banking superintendent . His recommendation was not adopted , I might say . In March 1929 Paul Cabot , who has been associated with the State Street Investment Corporation ...
... banking laws and be subject to the supervision of the State banking superintendent . His recommendation was not adopted , I might say . In March 1929 Paul Cabot , who has been associated with the State Street Investment Corporation ...
Page 36
... banking houses with which they are at times It appears to the committee as if such protection could be most readily by independent directors under whose scrutiny and friendly criticism cont transactions would pass for review . This view ...
... banking houses with which they are at times It appears to the committee as if such protection could be most readily by independent directors under whose scrutiny and friendly criticism cont transactions would pass for review . This view ...
Page 44
United States. Congress. Senate. Committee on Banking and Currency. of individuals in the lowest economic and income ... bankers , brokers , and distributors from the management of investment com- panies , a step which various officials ...
United States. Congress. Senate. Committee on Banking and Currency. of individuals in the lowest economic and income ... bankers , brokers , and distributors from the management of investment com- panies , a step which various officials ...
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 Exchange Commission existing face-amount certificate company fact firm Founders funds 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 27 - ... forfeiture ; but no individual shall be prosecuted or subjected to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he is compelled, after having claimed his privilege against self-incrimination, to testify or produce evidence, except that such individual so testifying shall not be exempt from prosecution and punishment for perjury committed in so testifying.
Page 26 - 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 34 - ... (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 116 - ... 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 725 - ... to aid in the enforcement of the provisions of this title, in the prescribing of rules and regulations thereunder, or in obtaining information to serve as a basis for recommending further legislation concerning the matters to which this title relates.
Page 656 - director " means any director of a corporation or any person performing similar functions with respect to any organization, whether incorporated or unincorporated.
Page 178 - 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 111 - 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 246 - 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...
Page 33 - ... (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...