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" ... (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 19
por United States. Securities and Exchange Commission - 1974 - 21 páginas
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Laws Relating to Securities Commission, Exchanges and Holding Companies

United States - 1981 - 548 páginas
...businesses other than that of investing, reinvesting, owning, holding, or trading in securities. (2) Any issuer which the Commission, upon application by such...businesses other than that of investing, reinvesting, owningj holding, or trading in securities either directly or (A) through majority-owned subsidiaries...
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Small Business Investment: Hearings Before the Subcommittee on Consumer ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Consumer Protection and Finance - 1978 - 304 páginas
...requires a finding that the venture capital company is "primarily engaged" in some business "other than investing, reinvesting, owning, holding, or trading...through controlled companies conducting similar types of business." This exemption is practically unavailable to most venture capital companies because it requires...
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Compilation of Securities Laws Within the Jurisdiction of the Committee on ...

United States, United States. Congress. House. Committee on Interstate and Foreign Commerce - 1978 - 540 páginas
...title: (1) Any issuer primarily engaged, directly or through a whollyowned subsidiary or subsidiaries, in a business or businesses other than that of investing,...reinvesting, owning, holding, or trading in securities. (2) Any issuer which the Commission, upon application by such issuer, finds and by order declares to...
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Small Business Investment: Hearings Before the Subcommittee on Consumer ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Consumer Protection and Finance - 1979 - 302 páginas
...requires a finding that the venture capital company is "primarily engaged" in some business "other than investing, reinvesting, owning, holding, or trading...through controlled companies conducting similar types of business." This exemption is practically unavailable to most venture capital companies because it requires...
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Federal Securities Laws and Small Business Legislation: Hearings Before the ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - 1980 - 844 páginas
...requires a finding that the venture capital company is "primarily engaged" in some business "other than investing, reinvesting, owning, holding, or trading...through controlled companies conducting similar types of business." This exemption is practically unavailable to most venture capital companies because it requires...
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Small Business Investment Incentive Act: Hearings Before the Subcommittee on ...

United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Consumer Protection and Finance - 1980 - 508 páginas
...requires a finding that the venture capital company is "primarily engaged" in some business "other than investing, reinvesting, owning, holding, or trading...through controlled companies conducting similar types of business." This exemption is practically unavailable to most venture capital companies because it requires...
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Decisions and Reports, Volume 13

United States. Securities and Exchange Commission - 1946 - 990 páginas
...represented itself as an investment company.24 In view of all the facts, we conclude that applicant is primarily engaged in a business or businesses other than that of investing, rein"Tbis percentage would become 43 percent by using a valuation of $800,000 Instead of »116,110...
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Compilation of Securities Laws Within the Jurisdiction of the Committee on ...

United States, United States. Congress. House. Committee on Energy and Commerce - 1985 - 510 páginas
...title: (1) Any issuer primarily engaged, directly or through a wholly-owned subsidiary or subsidiaries, in a business or businesses other than that of investing,...reinvesting, owning, holding, or trading in securities. (2) Any issuer which the Commission, upon application by such issuer, finds and by order declares to...
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SEC Reauthorization: Hearing Before the Subcommittee on ..., Volume 4

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance - 1989 - 268 páginas
...and funds in its custody. These qualifications support the conclusion that the OCC would be an issuer primarily engaged "in a business or businesses other...reinvesting, owning, holding, or trading in securities." 86/ Moreover, given the existing securities law regulation of the OCC under Section 17A of the Act...
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Compilation of Securities Laws Within the Jurisdiction of the Committee on ...

United States - 1985 - 484 páginas
...title: (1) Any issuer primarily engaged, directly or through a wholly-owned subsidiary or subsidiaries, in a business or businesses other than that of investing,...reinvesting, owning, holding, or trading in securities. (2) Any issuer which the Commission, upon application by such issuer, finds and by order declares to...
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