Hearings, Reports and Prints of the Senate Committee on Banking and Currency, Части 1-4U.S. Government Printing Office, 1940 |
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Стр. 23
... fact in any registration statement , application , report , account , record , or other document filed , transmitted , or kept pursuant to this title . It shall be unlawful for any person filing , transmitting , or keeping any such ...
... fact in any registration statement , application , report , account , record , or other document filed , transmitted , or kept pursuant to this title . It shall be unlawful for any person filing , transmitting , or keeping any such ...
Стр. 38
... fact that holders of investment company securities are peculiarly investors in the low- income brackets - the least sophisticated of investors . As I have indicated , during the relatively short period of their existence in this country ...
... fact that holders of investment company securities are peculiarly investors in the low- income brackets - the least sophisticated of investors . As I have indicated , during the relatively short period of their existence in this country ...
Стр. 39
... fact is , however , by way of explanation and not of excuse , that the size and the problems of the industry proved to be much larger or more complicated than either we or Congress evidently anticipated . Moreover , during the course of ...
... fact is , however , by way of explanation and not of excuse , that the size and the problems of the industry proved to be much larger or more complicated than either we or Congress evidently anticipated . Moreover , during the course of ...
Стр. 41
... fact that he is usually both selected and paid by the management . We wished to emphasize the fact that he is selected and paid by the very management whose financial acts he undertakes to audit and appraise . We wished to emphasize the ...
... fact that he is usually both selected and paid by the management . We wished to emphasize the fact that he is selected and paid by the very management whose financial acts he undertakes to audit and appraise . We wished to emphasize the ...
Стр. 53
... fact of the matter is that we have a thousand pages of statistics , and Prof. E. B. Wilson , of Harvard University , said that it is one of the most thorough jobs he has ever seen . The fact is that we made progress reports to the ...
... fact of the matter is that we have a thousand pages of statistics , and Prof. E. B. Wilson , of Harvard University , said that it is one of the most thorough jobs he has ever seen . The fact is that we made progress reports to the ...
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abuses affiliated person amount asset value bank believe bill board of directors bonds broker Byllesby capital certificate clients committee common stock contract dividends Exchange Commission existing face-amount certificate company fact firm Founders funds holding company industry investment adviser investment banker investment counsel investment trust issue issuer Judge Healy legislation Massachusetts Investors Trust matter ment company officers open-end companies operation organized outstanding panies percent portfolio practice preferred stock present president profits prohibition provision purchase question registered investment company rules and regulations SCHENKER Securities Act Securities and Exchange securities finance security holders sell Senator HUGHES Senator TAFT Senator WAGNER chairman senior securities shareholders shares situation sold Standard stockholders subcommittee thing tion transactions type of company underwriter unit investment trust voting trust York Stock Exchange
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Стр. 27 - ... forfeiture ; but no individual shall be prosecuted or subjected to any penalty or forfeiture for or on account of any transaction, matter, or thing concerning which he is compelled, after having claimed his privilege against self-incrimination, to testify or produce evidence, except that such individual so testifying shall not be exempt from prosecution and punishment for perjury committed in so testifying.
Стр. 26 - System, 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.
Стр. 34 - ... (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...
Стр. 116 - ... 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.
Стр. 725 - ... to aid in the enforcement of the provisions of this title, in the prescribing of rules and regulations thereunder, or in obtaining information to serve as a basis for recommending further legislation concerning the matters to which this title relates.
Стр. 656 - director " means any director of a corporation or any person performing similar functions with respect to any organization, whether incorporated or unincorporated.
Стр. 178 - 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...
Стр. 111 - 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...
Стр. 246 - No provision of this title imposing any liability shall apply to any act done or omitted in good faith in conformity with any rule, regulation, or...
Стр. 33 - ... (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...