Compilation of Releases, Commission Opinions, and Other Material Dealing with Matters Frequently Arising Under the Investment Company Act of 1940U.S. Government Printing Office, 1967 - 94페이지 |
기타 출판본 - 모두 보기
자주 나오는 단어 및 구문
accepted in shares accumulated shares affiliated person amount application asset value bank bond business investment company capital gains distributions chart or table collective investment funds Company Act Release company's cumulative curities dealer December 31 directors dividend reinvestment plan dividends reinvested employees Exchange Commission fidelity bond filed folio company Gains Distributions Accepted initial investment adviser Investment Company Act issuer ment Company Act net asset value opinion pany paragraph payment percent period permit principal underwriter prohibited prospectus protection of investors provisions of Section public interest public offering price purchase purposes pursuant to Section redeemable securities redemption regis registered investment company registration statement sales charge sales literature sales load SBIC Section 17 Section 24 Securities Act Securities and Exchange securities issued shareholders sion small business investment Statement of Policy stockholders suant subparagraph thereof tion transaction unit investment trust vestment company voting securities
인기 인용구
50 페이지 - ... necessary or appropriate in the public interest and consistent with the protection of investors and the purposes fairly intended by the policy and provisions of this title.
56 페이지 - To make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances under which they were made, not misleading...
56 페이지 - It shall be unlawful for any person, directly or indirectly, by the use of any means or instrumentality of interstate commerce, or of the mails or of any facility of any national securities exchange, "(a) To employ any device, scheme, or artifice to defraud...
27 페이지 - Commission, might violate statutory standards, including provisions of the Securities Act of 1933 and the Investment Company Act of 1940.
88 페이지 - ... voting-trust certificates or collateral-trust certificates, or with respect to certificates of interest or shares in an unincorporated investment trust not having a board of directors (or persons performing similar functions) or of the fixed, restricted management or unit type; the term 'issuer...
24 페이지 - ... (e) (1) A registration statement under the Securities Act of 1933 relating to a security issued by a face-amount certificate company or a redeemable security issued by an open-end management company or unit investment trust...
57 페이지 - I am taking the liberty of sending a copy of this letter to the other members of your committee.
62 페이지 - Associate company" of a company means any company in the same holding-company system with such company. (11) "Affiliate" of a specified company means — (A) any person that directly or indirectly owns, controls, or holds with power to vote, 5 per centum or more of the outstanding voting securities of such...
82 페이지 - Company" means a corporation, a partnership, an association, a jointstock company, a trust, a fund, or any organized group of persons, whether incorporated or not; or any receiver, trustee in bankruptcy, or similar official or any liquidating agent for any of the foregoing in his capacity as such. (9) "Control...
67 페이지 - ... qualifying shares) are, or after such acquisition will be, owned by one or more registered investment companies; and (B) such person is primarily engaged in the business of underwriting and distributing securities issued by other persons, selling securities to customers, or...