Investment Company Act Amendments of 1967: Bank and Insurance Company Collective Investment Funds and Accounts: Hearings, Ninetieth Congress, Second Session, on H.R. 14742 ... March 14 and 15, 1968U.S. Government Printing Office, 1968 - 169 páginas |
Términos y frases comunes
administrative affiliated person amended to read American Bankers Association authority bank collective investment bank's banking agencies bill broker-dealer certificate Chairman COHEN collective fund maintained collective investment funds commercial banks Committee common trust fund competition Comptroller CONGRESS THE LIBRARY court Currency dealer employee Exchange Commission exemption Federal Reserve Federal Reserve System Federal securities laws FERGUSON fiduciary funds for managing Glass-Steagall Act institutions insurance companies Internal Revenue Code investment adviser Investment Company Act Investment Company Institute KEITH legislation LIBRARY OF CONGRESS management fees managing agency accounts Moss mutual fund business national banks National City Bank operation paragraph pension plans plaintiffs principal underwriter prohibition protection of investors pursuant question read as follows registered investment company regulation regulatory requirements respect sales charges sales load Section 12(g Securities Act Securities and Exchange securities business Securities Exchange Act securities issued selling separate account statement statutes statutory subcommittee tion trust department unit investment trust
Pasajes populares
Página 16 - Commission under this title may obtain a review of such order in the court of appeals of the United States within any circuit wherein such person resides or has his principal place of business, or in the United States Court of Appeals for the District of Columbia, by filing in such court, within sixty days after the entry of such order, a written petition praying that the order of the Commission be modified or set aside in whole or in part.
Página 34 - ... 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.
Página 70 - No officer, director, or employee of any corporation or unincorporated association, no partner or employee of any partnership, and no individual* primarily engaged in the issue, flotation, underwriting, public sale, or distribution, at wholesale or retail, or through syndicate participation, of stocks, bonds, or other similar securities...
Página 4 - ... 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...
Página 16 - If either party shall apply to the court for leave to adduce additional evidence, and shall show to the satisfaction of the court that such additional evidence is material and that there were reasonable grounds for the failure to adduce such evidence in the...
Página 9 - ... shall conform to such rules and regulations as the commission may from time to time prescribe for the protection of life, health, and property.
Página 16 - States shall have jurisdiction of violations of this title or the rules, regulations, or orders thereunder, and, concurrently with State and Territorial courts, of all suits in equity and actions at law brought to enforce any liability or duty created by, ) or to enjoin any violation of, this title or the rules, regulations, or orders thereunder.
Página 71 - Provided further, That nothing in this paragraph shall be construed as affecting in any way such right as any bank, banking association, savings bank, trust company, or other banking institution, may otherwise possess to sell, without recourse or agreement to repurchase, obligations evidencing loans on real estate...
Página 7 - ... (F) any transaction to offset a transaction made in error ; (G) any other transaction for a member's own account provided that (i) such member is primarily engaged in the business of underwriting and distributing securities issued by other persons, selling securities to customers, and acting as broker...
Página 96 - The bill would generally exempt any interest in a collective investment fund maintained by a bank from the provisions of the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940 if such fund is maintained in conformity with regulations of the Comptroller of the Currency pertaining to collective investments by national banks. The bill defines the term "collective investment fund...