Investment Trusts and Investment Companies: Hearings Before a Subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Seventy-sixth Congress, Third Session, on H.R. 10065, a Bill to Provide for the Registration and Regulation of Investment Companies and Investment Advisers, and for Other Purposes. June 13 and 14, 1940U.S. Government Printing Office, 1940 - 145페이지 |
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advisory affiliated person amended amount application bank bill board of directors BOREN BUNKER centum certificate holders Chairman closed-end companies COLE committee contract corporation court depositor dividend effective date engaged Exchange Commission exemption face-amount certificate company Federal fees filed hearings industry installment instrumentality of interstate interstate commerce investment adviser investment counsel Investors Syndicate issuer Jaretzki June 12 mails management company March 15 means or instrumentality ment officer open-end companies outstanding voting securities pany paragraph percent periodic payment plan portfolio principal underwriter protection of investors provision public interest purchase pursuant registered company registered investment company registration statement reorganization reserve respect rules and regulations sales load SCHENKER Securities Act Securities and Exchange Securities Exchange securities issued security holders sell Senate stockholders subcommittee subsection Texas Fund thereof tion transactions type of company unit investment trust unlawful unless voting trusts York Stock Exchange
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46 페이지 - ... court may seem proper. The Commission may modify its findings as to the facts by reason of the additional evidence so taken, and it shall file with the court such modified or new findings, which, if supported by substantial evidence, shall be conclusive, and its recommendation, if any, for the modification or setting aside of the original order.
46 페이지 - Commission under this title may obtain a review of such order in the circuit 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.
41 페이지 - Security" means any note, stock, treasury stock, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, collateral-trust certificate, preorganization certificate or subscription, transferable share, investment contract, voting-trust certificate, certificate of deposit for a security, fractional undivided interest in oil, gas, or other mineral rights, or, in general, any interest or instrument commonly known as a "security...
4 페이지 - common trust fund" means a fund maintained by a bank (as defined in section 104) — (1) exclusively for the collective investment and reinvestment of moneys contributed thereto by the bank in its capacity as a trustee, executor, administrator, or guardian...
87 페이지 - Investment adviser" means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as part of a regular business, issues or promulgates analyses or reports concerning securities...
116 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.
45 페이지 - Commission or any officer designated by it is empowered to administer oaths and affirmations, subpena witnesses, compel their attendance, take evidence, and require the production of any books, papers, correspondence, memoranda, or other records which the Commission deems relevant or material to the inquiry.
36 페이지 - 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.
45 페이지 - Act, he may make application to the appropriate court for an order enjoining such acts or practices, or for an order enforcing compliance with such provision, and upon a showing by the President that such person has engaged or is about to engage in any such acts or practices a permanent or temporary injunction, restraining order, or other order shall be granted without bond.
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).