Investment Company Act Amendments of 1967, Bank and Insurance Company Collective Investment Funds and Accounts, Hearings Before the Subcommittee on Commerce and Finance ... 90-2, on H.R. 14742, March 14, 15, 1968
1968 - 167 halaman
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Account activities additional administrative affiliated agency agent amended amount application appropriate assets Association authority believe bill certificate Chairman charge Cohen collective funds collective investment funds commingled Commission Committee common trust fund compensation competition Comptroller concerned Congress consisting contract corporate court deal dealer determine directors effect employee engaged established Exchange exemption existing fact Federal fees fiduciary follows hearings held industry institutions insurance companies interest Internal Revenue Code investment adviser Investment Company Act investors issued KEITH laws load maintained majority ment Moss mutual fund national banks offering officer operation paragraph participation payment pension permit person plans present principal underwriter prohibit proposed protection provisions purchase pursuant question read as follows reason received registered investment company regulation relationship requirements reserve respect rules Section securities Securities Act sell separate shares similar statement thereof tion United
Halaman 57 - To exercise by its board of directors, or duly authorized officers or agents, subject to law, all such incidental powers as shall be necessary to carry on the business of banking; by discounting and negotiating promissory notes, drafts, bills of exchange, and other evidences of debt...
Halaman 4 - The Commission may modify its findings as to the facts by reason of the additional evidence so taken, and it shall file with the court such modified or new findings, which, if supported by substantial evidence, shall be conclusive, and its recommendation, if any, for the modification or setting aside of the original order.
Halaman 4 - 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 4 - ... 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 21 - ... 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 4 - 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 58 - As used in this section the term "investment securities" shall mean marketable obligations, evidencing indebtedness of any person, copartnership, association, or corporation in the form of bonds. notes and/or debentures commonly known as investment securities under such further definition of the term "investment securities" as may by regulation be prescribed by the Comptroller of the Currency.
Halaman 4 - If either party shall apply to the court for leave to adduce additional evidence, and shall show to the satisfaction of the...