... (2) Any issuer which the Commission, upon application by such issuer, finds and by order declares to be primarily engaged in a business or businesses other than that of investing, reinvesting, owning, holding, or trading in securities either directly... Investment Advisers Act of 1940, as in Effect July 1, 1974 - Página 19por United States. Securities and Exchange Commission - 1974 - 21 páginasVisualização integral - Acerca deste livro
| United States. Securities and Exchange Commission - 1945 - 1290 páginas
...be declared not to be an investment company on a showing that it is "primarily engaged in a business other than that of investing, reinvesting, owning,...trading in securities either directly or (A) through majority owned subsidiaries or (B) through controlled companies conducting similar types of businesses."... | |
| United States. Securities and Exchange Commission - 1963 - 1134 páginas
...Act declaring that it was primarily engaged in a business or businesses -her than that of investing in securities, either directly or (A) through majority-owned...companies conducting similar types of businesses." In its decision, the Commission held that in determining primary business engagement under the statute,... | |
| United States. Securities and Exchange Commission - 1949 - 1134 páginas
...none of the following persons is an investment company within the meaning of tins title: ***** (2) Any issuer which the Commission, upon application by such...holding, or trading in securities either directly or (A) througi majority-owned subsidiaries or (B) through controlled companies conducting similar types of... | |
| United States. Securities and Exchange Commission - 1941 - 1124 páginas
...UUe : • •••*«• (2) Any Issuer which the Commission, upon application by such Issuer, find* and by order declares to be primarily engaged in a...trading in securities either directly or (A) through majority owned subsidiaries or (B) through controlled companies conducting similar types of businesses.... | |
| United States. Securities and Exchange Commission - 1953 - 824 páginas
...activities within the meaning of the Act, held that the company is entitled to an order declaring it to be primarily engaged in a business or businesses...reinvesting, owning, holding or trading in securities. APPEARANCES : Irving Schiller, of the Corporation Finance Division of the Commission. Bowden, Taylor... | |
| United States. Securities and Exchange Commission - 1962 - 1022 páginas
...and Order issued December 3, 1956, 37 SEC, 449 (1956) the Commission declared that South American was engaged in a business or businesses other than that...reinvesting, owning, holding or trading in securities. 'Section 3(a)(3) of the Act reads aa follows: "When used In this title, 'Investment company' means... | |
| United States. Securities and Exchange Commission - 1953 - 1110 páginas
...percent of applicant's outstanding preference stock and none of its common stock. The balance <Z) Any issuer which the Commission, upon application by such Issuer, finds and by order declares to b« primarily engaged in m business or businesses other than that of investing. reinvesting, owning,... | |
| United States. Securities and Exchange Commission - 1953 - 734 páginas
...registered investment company declared by the Commission to be primarily engaged in a business otber than that of investing, reinvesting, owning, holding or trading in securities either directly or through majority owned subsidiaries or controlled companies conducting similar types of businesses... | |
| United States. Securities and Exchange Commission - 1943 - 1160 páginas
...its applications the company asks that we issue an order under Section 3 (b) (2) declaring that it is "primarily engaged in a business or businesses other than that of investing, reinvesting, holding or trading in securities . . ." and is, therefore, not an investment company within the meaning... | |
| United States. Securities and Exchange Commission - 1958 - 1232 páginas
...definition of an investment company contained in Section 3 (a) (3), any issuer which the Commission finds and by order declares to be primarily engaged in a business other than that of investing, reinvesting, owning, holding or trading in securities, either directly... | |
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