Investment Company Act Amendments of 1967: Hearings, Ninetieth Congress, First Session, on H.R. 9510, H.R. 9511 ...
United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance
U.S. Government Printing Office, 1968
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action activity additional advisory fees amended amount assets Association authority average banks believe bill Chairman changes COHEN Commission committee compensation competition concerned Congress continue contractual plan corporate cost courts dealers directors economy effect Exchange existing fact fees firms follows front-end load fund shares growth income increase individual industry Institute interest investment adviser investment company investors issues KEITH legislation less letter means ment million Moss mutual fund NASD offering operating organizations paid payments percent period person present problem profits proposal purchase question reasonable received recommendations record referred registered regulation representatives respect result rules sales charges sales load salesmen securities selling shareholders shares statement Stock Exchange substantial suggest tion transactions underwriter WATKINS York
Halaman 20 - Commission is responsible for the administration and enforcement of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
Halaman 16 - Circuit Court of Appeals of the United States, within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.
Halaman 19 - If and to the extent that such exemption Is necessary or appropriate in the public interest and consistent with the protection of Investors and the purposes fairly intended by the policy and provisions of this title.
Halaman 88 - ... or any rule or regulation thereunder or any undertaking contained in a registration statement as provided in subsection (d) of Section 15 of this title, which statement was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...
Halaman 16 - If either party shall apply to the court for leave to adduce additional evidence, and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for the failure to adduce such evidence in the...
Halaman 3 - ... officer, director, trustee, member of an advisory board, or employee of such company, as such) who pursuant to contract with such company regularly furnishes advice to such company with respect to the desirability of investing in, purchasing or selling securities or other property...
Halaman 21 - No registered investment company shall sell any redeemable security issued by it to any person except either to or through a principal underwriter for distribution or at a current public offering price described in the prospectus, and, if such class of security is being currently offered to the public by or through an underwriter, no principal underwriter of such security and no dealer shall sell any such security to any person except a dealer, a principal underwriter or the issuer, except at a current...
Halaman 9 - ... shall conform to such rules and regulations as the commission may from time to time prescribe for the protection of life, health, and property.
Halaman 301 - Department of the Wharton School of Finance and Commerce at the University of Pennsylvania.