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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acquiring action advisory agency amended amount applicable approved assets Association authority bank believe bill certificate Chairman charge collective Commission committee compensation competition CONGRESS continue contract controlled corporate court determine directors effect employees Exchange exemption fact Federal fees fiduciary filed follows give holders industry Institute insurance company interest Internal Revenue Code investment adviser Investment Company Act investors involving issued legislation LIBRARY limited load loan maintained majority management fees means meeting ment mutual fund offering officer operation paragraph payments percent performance period permitted person present principal proposed protection provisions purchase question rates reasonable record registered registered investment regulation respect rules savings securities selling Senator MCINTYRE Senator PROXMIRE separate account shareholders shares standard statement subsection tion trust underwriter United voting
Side 318 - Corporations organized for the exclusive purpose of holding title to property, collecting income therefrom, and turning over the entire amount thereof, less expenses, to an organization which itself is exempt from the tax imposed by this title...
Side 234 - 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 261 - MclNTYRE 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.
Side 387 - 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 338 - ... or any rule or regulation thereunder or any undertaking contained in a registration statement as provided in subsection (d) of Section 15 of this title, which statement was at the time and in the light of the circumstances under which it was made false or misleading with respect to any material fact...
Side 265 - ... (v) any broker or dealer registered under the Securities Exchange Act of 1934 or any affiliated person of such a broker or dealer, and (vi) any natural person whom the Commission by order shall have determined to be an interested person by reason of having had, at any time since the beginning of the last two fiscal years of such company, a material business or professional relationship...
Side 35 - ... 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 37 - 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 223 - SEC. 27. (a) It shall be unlawful for any registered investment company issuing periodic payment plan certificates, or for any depositor of or underwriter for such company, to sell any such certificate, if — (1) the sales load on such certificate exceeds 9 per centum of the total payments to be made thereon; (2) more than one-half...