Investment Company Amendments Act of 1969: Hearings, Ninety-first Congress, First Session, on S. 34 and S. 296 ... April 15, 17, and 18, 1969, Volumes 22-23
U.S. Government Printing Office, 1969 - 428 páginas
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action advisory agency amended amount applicable approved assets Association authority bank believe bill certificate Chairman charge collective Commission committee compensation competition concerned Congress continue contract contractual plan corporate court determine directors duty effect employees Exchange exemption expenses fact Federal fiduciary follows give going important income independent industry insurance companies interest Internal Revenue Code investment adviser Investment Company Act investors involving issued legislation limited load majority management fees matter means meet ment mutual fund offering officer operation paragraph payments percent performance period person present principal problem proposed protection provisions purchase question reasonable record registered regulation respect result rules salesmen Section securities selling Senator MCINTYRE Senator PROXMIRE shareholders shares standard statement subsection tion trust underwriter United voting
Página 243 - ... principal place of business, or in the United States Court of Appeals for the District of Columbia...
Página 244 - Upon the filing of such transcript such court shall have exclusive jurisdiction to affirm, modify, or set aside such order, in whole or in part. No objection to the order of the Commission shall be considered by the court unless such objection shall have been urged before the Commission or unless there were reasonable grounds for failure so to do. The findings of the Commission as to the facts, if supported by substantial evidence, shall be conclusive.
Página 403 - 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.
Página 331 - ... the foregoing exemption shall not apply with respect to any such security where the Issuer takes from the total amount paid or deposited by the purchaser, by way of any fee, cash value or other device whatsoever, either upon termination of the investment at maturity or before maturity, an aggregate amount in excess of 3 per centum of the face value of such security), or any security issued by a farmers...
Página 257 - ... or transactions, from any provision or provisions of this title or of any rule or regulation thereunder, 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.
Página 32 - In the case of a plan included in subsection (a) (1), (2), or (3), which provides contributions or benefits for employees some or all of whom are employees within the meaning of section 401(c)(l...
Página 330 - ... any interest or participation in a single or collective trust fund maintained by a bank or in a separate account maintained by an insurance company which interest or participation is issued in connection with (A...
Página 382 - 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.
Página 243 - Commission to cease and desist from using any method of competition or act or practice may obtain a review of such order in the court of appeals of the United States, within any circuit...