Investment Company Amendments Act of 1969: Hearings Before the Committee on Banking and Currency, United States Senate, Ninety-first Congress, First Session, on S. 34 and S. 296, Bills 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, April 15, 17, and 18, 1969U.S. Government Printing Office, 1969 - 428 sider |
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Side 2
... provisions represent , in my opinion , a reasonable compromise . Under S. 34 the front - end load would be spread ... provision is of the utmost importance , if this bill is to provide adequate consumer protection . The front - end load ...
... provisions represent , in my opinion , a reasonable compromise . Under S. 34 the front - end load would be spread ... provision is of the utmost importance , if this bill is to provide adequate consumer protection . The front - end load ...
Side 4
... provisions to S. 34 , the Investment Company Amendments Act as introduced by Senator Sparkman , an explanation of which is contained in the committee print , except for the following ] A. SALES LOADS Section of S. 296 Section of S. 34 ...
... provisions to S. 34 , the Investment Company Amendments Act as introduced by Senator Sparkman , an explanation of which is contained in the committee print , except for the following ] A. SALES LOADS Section of S. 296 Section of S. 34 ...
Side 22
... provisions of section 27 ( a ) with respect to contractual plans , the Act's face - amount certificate provisions make no express reference to sales loads . The effect of the minimum reserve requirements , however , is to permit ...
... provisions of section 27 ( a ) with respect to contractual plans , the Act's face - amount certificate provisions make no express reference to sales loads . The effect of the minimum reserve requirements , however , is to permit ...
Side 31
... provisions of Section 12 ( d ) of S. 34 , appearing on page 36 of that bill , were applied to savings and loan associations as well as banks , this would override any provisions of the Home Owners Loan Act or state law restricting the ...
... provisions of Section 12 ( d ) of S. 34 , appearing on page 36 of that bill , were applied to savings and loan associations as well as banks , this would override any provisions of the Home Owners Loan Act or state law restricting the ...
Side 32
... provisions of the Investment Company Act of 1940 insurance company separate accounts used solely to fund corporate pension and profit sharing plans qualified under Section 401 of the Internal Revenue Code and qualified retirement plans ...
... provisions of the Investment Company Act of 1940 insurance company separate accounts used solely to fund corporate pension and profit sharing plans qualified under Section 401 of the Internal Revenue Code and qualified retirement plans ...
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acquiring company action advisory contract advisory fee affiliated person amended to read American Bankers Association applicable assets AUGENBLICK bill centum Chairman collective investment funds Committee compensation competition CONGRESS THE LIBRARY contractual plan corporate court dealer effect employees exemption face-amount certificate face-amount certificate company fiduciary duty filed front-end load Glass-Steagall Act holders independent directors insurance company investment adviser Investment Company Act Investment Company Institute issuer JOHN SPARKMAN legislation LIBRARY OF CONGRESS loan associations management fees mutual fund industry mutual fund shares NASD operation OWENS pany paragraph payments percent principal underwriter provisions purchase pursuant read as follows reasonable registered company registered investment company regulation respect sales charges sales load salesmen savings and loan Section 22(d Securities Act Securities and Exchange Securities Exchange Act security issued selling Senator MCINTYRE Senator PROXMIRE separate account shareholders statement statute subsection tion trust fund unaffiliated directors unit investment trust
Populære avsnitt
Side 320 - 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 236 - 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 263 - 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 389 - 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 340 - ... 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 267 - ... (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 225 - 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...
Side 369 - Any person, partnership, or corporation required by an order of the 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...