High Interest Rates, Hearings Before ..., 91-1 ..., March 25 and 26, and April 1, 1969 |
자주 나오는 단어 및 구문
acquiring company action adviser or principal affiliated person amended to read AMENDING SECTION application assets bill would amend board of directors broker-dealer centum class or series clause collective trust funds Commission companies controlled company or companies compensation or payments court depositor exempt face-amount certificate company face-amount certificates Federal Reserve System filed gross annual payment interested person interests or participations Internal Revenue Code Investment Advisers Act Investment Company Act issuer March 15 meets the requirements ment adviser ment company mutual fund outstanding voting securities pany payment or payments plan which meets principal underwriter proposed amendment protection of investors pursuant read as follows reasonable registered company registered investment company requirements for qualification reserve payment rules and regulations sales load Section 15 section 203 section 3(c Securities Act Securities Exchange Act security holders security issued serve or act subparagraph thereof tion trust fund maintained unit investment trust United States Code unlawful
인기 인용구
103 페이지 - No objection to the order of the Commission shall be considered by the court unless such objection shall have been urged before the Commission or unless there were reasonable grounds for failure so to do.
47 페이지 - Commission under this title may obtain a review of such order in the court of appeals of the United States within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.
32 페이지 - CHANGES IN EXISTING LAW MADE RY THE BILL, AS REPORTED In compliance with clause 3 of rule XIII of the Rules of the House of Representatives, changes in existing law made by the bill, as reported, are shown as follows (existing law proposed to be omitted is enclosed in black brackets, new matter is printed in italic...
44 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.
54 페이지 - SPARKMAN introduced the following bill; which was read twice and referred to the Committee on Banking and Currency A BILL To amend the Investment Company Act of 1940 and the Investment Advisers Act of 1940 to define the equitable standards governing relationships between investment companies and their investment advisers and principal underwriters, and for other purposes.
81 페이지 - ... shall conform to such rules and regulations as the commission may from time to time prescribe for the protection of life, health, and property.
103 페이지 - If either party shall apply to the court for leave to adduce additional evidence, and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for the failure to adduce such evidence in the...
32 페이지 - custodian bank" is any bank or trust company which is supervised and examined by state or federal authority having supervision over banks and which is acting as custodian for a clearing corporation. (5) Other definitions applying to this article or to specified parts thereof and the sections in which they appear are: "Adverse claim".
102 페이지 - Any person or party aggrieved by an order issued by the Commission under this title may obtain a review of such order in the court of appeals of the United States...
47 페이지 - Commission shall be final, subject to review by the Supreme Court of the United States upon certiorari or certification as provided in sections 239 and 240 of the Judicial Code, as amended (USC, title 28, sees. 346 and 347).