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" ... or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by such other person; (C) any person directly or indirectly controlling, controlled by, or under common control with, such other... "
Investment Advisers Act of 1940, as in Effect July 1, 1974 - Página 21
por United States. Securities and Exchange Commission - 1974 - 21 páginas
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United States Reports: Cases Adjudged in the Supreme Court at ..., Volume 432

United States. Supreme Court, John Chandler Bancroft Davis, Henry Putzel, Henry C. Lind, Frank D. Wagner - 1976 - 602 páginas
...voting securities are directly or indirectly owned, controlled, or held with power to vote, by each other person; (C) any person directly or indirectly...any investment adviser thereof or any member of an advisory board thereof; and (F) if such other person is an unincorporated investment company not having...
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Decisions and Reports, Volume 11

United States. Securities and Exchange Commission - 1945 - 1290 páginas
...or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by such other person ; (C) any...partner, copartner, or employee of such other person ; (B) If such other person is an investment company, any investment adviser thereof or any member of...
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Interstate Commerce Acts Annotated

United States. Interstate Commerce Commission - 1930 - 1284 páginas
...Pub. L. 94-210, §208, 90 Stat. 42.] (1) As used in this section, the term — (a) 'affiliate' means any person directly or indirectly controlling, controlled by, or under common control or ownership with, any other person, and as used in this subdivision, the term (i) 'control' has the...
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Decisions and Reports, Volume 9

United States. Securities and Exchange Commission - 1943 - 1160 páginas
...per share and a liquidating preference of $110 per Footnote 2 continued : owned, controlled, or held with power to vote, by such other person ; (C) any...any Investment adviser thereof or any member of an advisory board thereof; and (F) If such other person Is an unincorporated Investment company not having...
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Decisions and Reports, Volume 14

United States. Securities and Exchange Commission - 1947 - 1062 páginas
...outstanding voting securities are directly or indirectly owned, controlled, or held with power to Tote, by such other person; (C) any person directly or indirectly...under common control with, such other person; (D) sny officer, director, partner, copartner, or employee of such other person; (E) if each other person...
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Decisions and Reports, Volume 24

United States. Securities and Exchange Commission - 1953 - 734 páginas
...or more of whose outstanding voting securities are directly or Indirectly owned, controlled, or held with power to vote, by such other person ; (C) any...Indirectly controlling, controlled by, or under common coutrol with, such other person ; (D) any officer, director, partner, copartner, or employee of such...
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Decisions and Reports, Volume 29

United States. Securities and Exchange Commission - 1955 - 920 páginas
...or more of whose outstanding voting securities are directly or Indirectly owned, controlled or held with power to vote, by such other person; (C) any...or Indirectly controlling, controlled by, or under ""mmon control with, such other person; (D) any officer, director, partner, copartner, or employee...
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Decisions and Reports, Volume 25

United States. Securities and Exchange Commission - 1953 - 828 páginas
...other person ; (D) any officer, director, partner, copartner, or employee of such other person; (B) if such other person Is an Investment company, any Investment adviser thereof or any member of an advisory board thereof ; and (F) If such other person Is an unincorporated Investment company not having...
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Decisions and Reports, Volume 23

United States. Securities and Exchange Commission - 1953 - 824 páginas
...(3) of the Investment Company Act of 1940 defines an affiliated person of another person to include "any person directly or indirectly controlling, controlled...or under common control with, such other person," and "any person 5 per centum or more of whose outstanding voting securities are directly or indirectly...
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Decisions and Reports

United States. Securities and Exchange Commission - 1958 - 1232 páginas
...any person directly owning 5% or more of tbe outstanding voting securities of such other person, or any person directly or Indirectly controlling, controlled...by or under common control with such other person. for an order declaring that International has ceased to be an investment company. International's stock...
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