Hearings, Reports and Prints of the Senate Committee on Banking and Currency, Parts 1-4U.S. Government Printing Office, 1940 - Banking law |
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Page 2
... investors are adversely affected— ( 1 ) when investors purchase , pay for , exchange , receive dividends upon , vote , refrain from voting , sell , or surrender securities issued by investment companies without adequate , accurate , and ...
... investors are adversely affected— ( 1 ) when investors purchase , pay for , exchange , receive dividends upon , vote , refrain from voting , sell , or surrender securities issued by investment companies without adequate , accurate , and ...
Page 5
... investors . In determining the provisions to which such an order of exemption shall apply , the Commission shall give due weight , among other things , to the form or organization and the capital structure of such company , the persons ...
... investors . In determining the provisions to which such an order of exemption shall apply , the Commission shall give due weight , among other things , to the form or organization and the capital structure of such company , the persons ...
Page 6
... investors . An investment company shall be deemed to be registered upon receipt by the Commission of such notification of registration . ( b ) It shall be the duty of every registered investment company to file with the Commission ...
... investors . An investment company shall be deemed to be registered upon receipt by the Commission of such notification of registration . ( b ) It shall be the duty of every registered investment company to file with the Commission ...
Page 16
... investors , to prohibit― ( 1 ) the suspension , in whole or in part , of the redemption privileges of any redeemable security of which any registered investment company is the issuer ; and ( 2 ) restrictions upon the transferability or ...
... investors , to prohibit― ( 1 ) the suspension , in whole or in part , of the redemption privileges of any redeemable security of which any registered investment company is the issuer ; and ( 2 ) restrictions upon the transferability or ...
Page 20
... investors , to designate those investments which are qualified and to prescribe the basis of valuation of any such investment . ( c ) The Commission is authorized , by rules and regulations or order in the public interest or for the ...
... investors , to designate those investments which are qualified and to prescribe the basis of valuation of any such investment . ( c ) The Commission is authorized , by rules and regulations or order in the public interest or for the ...
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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 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...