| United States. Congress. House. Committee on Interstate and Foreign Commerce - 1940 - 164 páginas
...this section shall not be construed to prohibit an investment advisory contract which provides for compensation based upon the total value of a fund...definite period, or as of definite dates, or taken as of a definite date. PROHIBITED TRANSACTIONS BY REGISTERED INVESTMENT ADVISERS SEC. 206. It shall be... | |
| United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1180 páginas
...th.it section shall not be construed to prohibit an investment advisory contract -wfaa<?t provides for compensation based upon the total value of a fund averaged over a definite period or taken as of a definite date. PROHIBITED TRANSACTIONS BY REGISTERED INVESTMENT ADVISERS SEC. 206. It... | |
| United States. Congress. Senate. Committee on Banking and Currency - 1940 - 1174 páginas
...this section shall not be construed to prohibit an investment advisory contract which provides for compensation based upon the total value of a fund averaged over a definite period or taken as of a definite date. PROHIBITED TRANSACTIONS BY REGISTERED INVESTMENT ADVISERS SEC. 206. It... | |
| United States - 1953 - 1692 páginas
...this section shall not be construed to prohibit an investment advisory contract which provides for 40mt +o#4 1> ]d 4!. !95 R ml t of a definite date. (Aug. 22, 1940, ch. 686, title П, § 205, 54 Stat. 852.) TRANSFER OF FUNCTIONS... | |
| United States. Congress. Senate. Committee on Banking and Currency - 1953 - 854 páginas
...this section shall not be construed to prohibit an investment advisory contract which provides for compensation based upon the total value of a fund...definite period, or as of definite dates, or taken as of a definite date. PROHIBITED TRANSACTIONS BY REGISTERED INVESTMENT ADVISERS SEC. 206. It shall be... | |
| Wisconsin - 1955 - 850 páginas
...be based upon the number or volume of transactions recommended or executed. Charges or fees may be based upon the total value of a fund averaged over...definite period or as of definite dates or taken as of a specific date. (d) It is unlawful for any investment adviser to retain in his possession or to... | |
| Wisconsin - 1955 - 890 páginas
...be based upon the number or volume of transactions recommended or executed. Charges or fees may be based upon the total value of a fund averaged over...definite period or as of definite dates or taken as of a specific date. (d) It is unlawful for any investment adviser to retain in his possession or to... | |
| United States. Congress. Senate. Banking and Currency Committee - 1959 - 658 páginas
...this section shall not be construed to prohibit an investment advisory contract which provides for compensation based upon the total value of a fund...definite period, or as of definite dates, or taken as of a definite date. Prohibited Transactions by Registered Investment Advisers SEC. 206. It shall be... | |
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