Investment Trusts and Investment Companies, Hearings Before a Subcommittee of ..., 76:3 on S. 3580 .... |
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adviser affiliated amount application assets association bank believe bill capital certificate Chairman Commission committee common stock connection contract Corporation course deal directors discussion dividends effect existing fact firm funds further give hearing holders holding important individual industry instance interest investment company investment counsel investment trust investors issue legislation limitation matter means ment necessary offer officers open-end operation organized outstanding paid percent period person portfolio possible practice preferred present president problem profits proposed protection provision purchase question reason record registered regulation represent respect result rules SCHENKER securities Securities and Exchange sell Senator Hughes Senator WAGNER senior shareholders shares situation sold Standard statement stockholders thing underwriter United voting
Passagens conhecidas
Página 242 - Commission, notwithstanding that such rule or regulation may, after such act or omission, be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.
Página 22 - Commission may investigate any facts, conditions, practices, or matters which it may find necessary or proper in order to determine whether any person has violated or is about to violate...
Página 22 - Hearings may be public and may be held before the Commission, any member or members thereof, or any officer or officers of the Commission designated by it, and appropriate records thereof shall be kept.
Página 23 - Act, he may make application to the appropriate court for an order enjoining such acts or practices, or for an order enforcing compliance with such provision, and upon a showing by the President that such person has engaged or is about to engage in any such acts or practices a permanent or temporary injunction, restraining order, or other order shall be granted without bond.
Página 30 - ... (2) to obtain money or property by means of any untrue statement of a material fact or any omission to state a material fact necessary in order to make the statements made, in...
Página 107 - ... as to make it necessary or appropriate in the public interest or for the protection of investors or consumers that the applicant be subject to the obligations, duties, and liabilities imposed in this title upon subsidiary companies of holding companies.
Página 174 - SEC. 326. Except as otherwise expressly provided, nothing in this title shall affect (1) the jurisdiction of the Commission under the Securities Act of 1933, or the Securities Exchange Act of 1934, or...
Página 107 - Public-utility company" means an electric utility company or a gas utility company. (6) "Commission" means the Securities and Exchange Commission. (7) "Holding company" means— (A) any company which directly or indirectly owns, controls, or holds with power to vote...
Página 29 - ... (1) any person who within ten years has been convicted of any felony or misdemeanor involving the purchase or sale of any security or arising out of such person's conduct as an underwriter, broker, dealer, or investment adviser...
Página 23 - ... and any failure to obey such order of the court may be punished by such court as a contempt thereof. All process in any such case may be served in the judicial district whereof such person is an inhabitant or wherever he may be found.
Informação bibliográfica
| Título | Investment Trusts and Investment Companies, Hearings Before a Subcommittee of ..., 76:3 on S. 3580 .... Investment Trusts and Investment Companies, Hearings Before a Subcommittee of ..., 76:3 on S. 3580, United States. Congress. Senate. Committee on Banking and Currency |
| Autor | United States. Congress. Senate. Committee on Banking and Currency |
| Publicação | 1940 |
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