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INVESTMENT COMPANIES

HEARINGS

BEFORE A

SUBCOMMITTEE OF THE
COMMITTEE ON BANKING AND CURRENCY

UNITED STATES SENATE
SEVENTY-SIXTH CONGRESS

THIRD SESSION

ON

S. 3580

A BILL TO PROVIDE FOR THE REGISTRATION AND
REGULATION OF INVESTMENT COMPANIES AND
INVESTMENT ADVISERS, AND FOR

OTHER PURPOSES

PART 1

APRIL 2, 3, 4, 5, 8, 9, AND 10, 1940

Printed for the use of the Committee on Banking and Currency

UNITED STATES
GOVERNMENT PRINTING OFFICE

WASHINGTON: 1940

221147

GUALT HALL

COMMITTEE ON BANKING AND CURRENCY

ROBERT F. WAGNER, New York, Chairman OARTER GLASS, Virginia

JOHN G. TOWNSEND, JR., Delaware ALBEN W. BARKLEY, Kentucky

LYNN J. FRAZIER, North Dakota JAMES F. BYRNES, South Carolina

CHARLES W. TOBEY, New Hampshire JOHN H. BANKHEAD, Alabama

JOAN A. DANAHER, Connecticut
ALVA B. ADAMS, Colorado

ROBERT A. TAFT, Ohio
FRANCIS T. MALONEY, Connecticut
GEORGE L. RADCLIFFE, Maryland
PRENTISS M. BROWN, Michigan
JAMES H. HUGHES, Delaware
CLYDE L. HERRING, Iowa
WILLIAM H. SMATHERS, New Jersey
JOHN E. MILLER. Arkansas
D. WORTH CLARK, Idaho
SHERIDAN DOWNEY, California

PHILIP LEVY, Clerk

SUBCOMMITTEE ON SECURITIES and ExchaNGE

ROBERT F. WAGNER, New York, Chairman CARTER GLASS, Virginia

JOHN G. TOWNSEND, JR., Delaware JAMES F. BYRNES, South Carolina

LYNN J. FRAZIER, North Dakota FRANCIS T. MALONEY, Connecticut

ROBERT A. TAFT, Ohio
JAMES H, HIGHES, Delaware
CLYDE L. HERRING, Iowa
JOHN E. MILLER, Arkansas
SHERIDAN DOWNEY, California

Jurís

CONTENTS

1

36
58

M156206

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