Investment Company Amendments of 1967: S. 1659: Analysis of S. 1659 [prepared by the Securities and Exchange Commission, And] Comparative Print Showing Changes in Existing Law, Volume 22-23
U.S. Government Printing Office, 1967 - 117 halaman
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1940 is amended action additional advisory affiliated person amend section amended to read amount annual application appropriate approved assets associated authority bank bill board of directors broker centum certificate clause clients Commission compensation consists contract controlled court definition determine directors effect employee engaged exemption existing fees filed finds gross holder interested person Internal Revenue Code investment adviser Investment Advisers Act Investment Company Act issuer limited majority means meeting ment mutual fund offer officer outstanding paid paragraph payments percent period prescribe present principal underwriter prior prohibit proposed amendment protection of investors public interest purchase pursuant read as follows reasonable received Redesignated reference registered company registered investment company relationship respect rules sales load securities security issued sell serve shareholders shares specified standard subsection term thereof tion transactions trust unlawful unless violation voting
Halaman 39 - CHANGES IN EXISTING LAW MADE RY THE BILL, AS REPORTED In compliance with clause 3 of rule XIII of the Rules of the House of Representatives, changes in existing law made by the bill, as reported, are shown as follows (existing law proposed to be omitted is enclosed in black brackets, new matter is printed in italic...
Halaman 41 - ... 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 53 - 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 39 - custodian bank" is any bank or trust company which is supervised and examined by state or federal authority having supervision over banks and which is acting as custodian for a clearing corporation. (5) Other definitions applying to this article or to specified parts thereof and the sections in which they appear are: "Adverse claim".
Halaman 40 - ... bona fide 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 53 - Any person or party aggrieved by an order issued by the Commission under this title may obtain a review of such order in the court of appeals of the United States within any circuit wherein such person resides or has his principal Sec.
Halaman 1 - Department of the Wharton School of Finance and Commerce of the University of Pennsylvania.
Halaman 49 - ... 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 54 - States shall have jurisdiction of violations of this title or the rules, regulations, or orders thereunder, and, concurrently with State and Territorial courts, of all suits in equity and actions at law brought to enforce any liability or duty created by, ) or to enjoin any violation of, this title or the rules, regulations, or orders thereunder.