Decisions and Reports, 29권

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U.S. Government Printing Office, 1955

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879 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...
2 페이지 - ... per centum or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by such other...
268 페이지 - ... and similar matters as the Commission deems necessary or appropriate in the public interest or for the protection of investors or consumers or to prevent the circumvention of the provisions of this title or the rules, regulations, or orders thereunder.
186 페이지 - the Commission" shall mean the Commodity Futures Trading Commission established under section 4a of this title. The term "commodity trading advisor" shall mean any person who, for compensation or profit, engages in the business of advising others, either directly or through publications or writings, as to the value of...
879 페이지 - Incidental to the practice of his profession; (C) any broker or dealer whose performance of such services Is solely Incidental to the conduct of his business as a broker or dealer and who receives no special compensation therefor...
879 페이지 - ... the publisher of any bona fide, newspaper, news magazine, or business or financial publication of general and regular circulation...
1931 페이지 - Securities Exchange Act of 1934," "Public Utility Holding Company Act of 1935," and "Investment Company Act of 1940" mean the federal statutes of those names as amended before or after the effective date of this act.
2 페이지 - ... or more of whose outstanding voting securities are directly or indirectly owned, controlled, or held with power to vote, by such other person; (C) any person directly or indirectly controlling, controlled by, or under common control with, such other person; (D) any officer, director, partner, copartner, or employee of such other person...
302 페이지 - ... take such steps as the Commission shall find necessary to ensure that the corporate structure or continued existence of any company In the holdingcompany system does not unduly or unnecessarily complicate the structure, or unfairly or inequitably distribute voting power among security holders, of such holdingcompany system.
543 페이지 - ... revocation is in the public interest and that (1) such broker or dealer whether prior or subsequent to becoming such, or (2) any partner, officer, director, or branch manager of such broker or dealer (or any person occupying a similar status or performing similar functions) , or any person directly or indirectly controlling or controlled by such broker or dealer, whether prior or subsequent to becoming such...

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