Investment Company Amendments Act of 1969: Hearings, Ninety-first Congress, First Session, on S. 34 and S. 296 ... April 15, 17, and 18, 1969, Volumer 22-23
U.S. Government Printing Office, 1969 - 428 sider
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action advisory affiliated agency amended amount applicable approved asked assets Association authority bank believe bill certificate Chairman charge collective Commission committee compensation competition Congress continue contract contractual plan corporate court determine directors duty effect employees Exchange exemption expenses fact Federal fiduciary follows give going income independent industry insurance companies interest investment adviser Investment Company Act investors involving issued legislation limited load majority management fees matter means meet ment months mutual fund offer officer operation paragraph payments percent performance period person present principal problem proposed protection provisions purchase question reasonable record registered regulation respect result rules salesmen Section securities selling Senator MCINTYRE Senator PROXMIRE separate shareholders shares standard statement subsection testimony tion trust underwriter United voting
Side 253 - ... principal place of business, or in the United States Court of Appeals for the District of Columbia...
Side 254 - Upon the filing of such transcript such court shall have exclusive jurisdiction to affirm, modify, or set aside such order, in whole or in part. 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. The findings of the Commission as to the facts, if supported by substantial evidence, shall be conclusive.
Side 413 - Commission is responsible for the administration and enforcement of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.
Side 341 - ... the foregoing exemption shall not apply with respect to any such security where the Issuer takes from the total amount paid or deposited by the purchaser, by way of any fee, cash value or other device whatsoever, either upon termination of the investment at maturity or before maturity, an aggregate amount in excess of 3 per centum of the face value of such security), or any security issued by a farmers...
Side 267 - ... or transactions, from any provision or provisions of this title or of any rule or regulation thereunder, if and to the extent that such exemption is 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.
Side 42 - In the case of a plan included in subsection (a) (1), (2), or (3), which provides contributions or benefits for employees some or all of whom are employees within the meaning of section 401(c)(l...
Side 340 - ... any interest or participation in a single or collective trust fund maintained by a bank or in a separate account maintained by an insurance company which interest or participation is issued in connection with (A...
Side 392 - 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.
Side 253 - Commission to cease and desist from using any method of competition or act or practice may obtain a review of such order in the court of appeals of the United States, within any circuit...