Investment Company Amendments Act of 1969, Hearings Before ..., 91-1 on S.34 and S.296 ..., April 15, 17, and 18, 19691969 - 428 sider |
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... UNDERWRITERS , AND FOR OTHER PURPOSES 28-510 APRIL 15 , 17 , AND 18 , 1969 Printed for the use of the Committee on Banking and Currency U.S. GOVERNMENT PRINTING OFFICE WASHINGTON : 1969 COMMITTEE ON BANKING AND CURRENCY JOHN SPARKMAN ...
... UNDERWRITERS , AND FOR OTHER PURPOSES 28-510 APRIL 15 , 17 , AND 18 , 1969 Printed for the use of the Committee on Banking and Currency U.S. GOVERNMENT PRINTING OFFICE WASHINGTON : 1969 COMMITTEE ON BANKING AND CURRENCY JOHN SPARKMAN ...
Side 4
... underwriters to fix sales commissions at a set price and makes it a Federal crime for any broker - dealer to sell these shares at a lower price . Repeal of sec . 22 ( d ) would allow the competitive forces of the market place to ...
... underwriters to fix sales commissions at a set price and makes it a Federal crime for any broker - dealer to sell these shares at a lower price . Repeal of sec . 22 ( d ) would allow the competitive forces of the market place to ...
Side 5
... underwriter . S. 34 keeps this Federal regulation and adds to it a layer of regula- tions as to commission levels by the National Association of Security Dealers , NASD . My bill removes all of these regulations and would permit commis ...
... underwriter . S. 34 keeps this Federal regulation and adds to it a layer of regula- tions as to commission levels by the National Association of Security Dealers , NASD . My bill removes all of these regulations and would permit commis ...
Side 11
... underwriter , which is closely affiliated with the adviser . Includes both the fees paid to the fund's investment adviser and to its business manager . The CHAIRMAN . Thank you very much . As you say , we have gone over and over this ...
... underwriter , which is closely affiliated with the adviser . Includes both the fees paid to the fund's investment adviser and to its business manager . The CHAIRMAN . Thank you very much . As you say , we have gone over and over this ...
Side 87
... underwriters . Our member mutual funds have approximately 9 million share- holder accounts which represent about 5 million shareholders , and have over $ 50 billion of net assets representing about 93 percent of the total net assets of ...
... underwriters . Our member mutual funds have approximately 9 million share- holder accounts which represent about 5 million shareholders , and have over $ 50 billion of net assets representing about 93 percent of the total net assets of ...
Vanlige uttrykk og setninger
acquiring company action advisory contract advisory fee affiliated person amended to read American Bankers Association amount approved assets AUGENBLICK bill breach of fiduciary Chairman collective investment funds committee compensation competition Congress contractual plan corporate court dealer derivative suits effect employees end load exemption face-amount certificate company fiduciary duty filed front-end load Glass-Steagall Act going holders income independent directors insurance companies investment adviser Investment Company Act Investment Company Institute investors legislation LOEFFLER management fees ment mutual fund industry mutual fund shares NASD operation OWENS pany paragraph payments percent POMERANTZ principal underwriter proposed provisions purchase pursuant question ratification read as follows reasonable registered company registered investment company regulation reinvested repeal rules sales charges sales load salesmen savings and loan SCHROEDER Section 22(d security issued Senator MCINTYRE Senator PROXMIRE separate account shareholders Smathers-Keogh statement statute stockholders subsection testimony tion unaffiliated directors unit investment trust
Populære avsnitt
Side 243 - ... principal place of business, or in the United States Court of Appeals for the District of Columbia...
Side 244 - 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 403 - 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 331 - ... 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 257 - ... 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 32 - 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 330 - ... 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 382 - 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 243 - 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...
Side 256 - Clause (1) does not prohibit an investment advisory contract which provides for compensation based upon the total value of a fund averaged over a definite period, or as of definite dates or taken as of a definite date. "Assignment...