Mutual Fund Amendments: Hearings, Ninety-first Congress, First Session, on H.R. 11995, S. 2224, H.R. 13754, and H.R. 14737 ...U.S. Government Printing Office, 1970 - 952 páginas |
Palavras e frases frequentes
90th Congress accounts advisory fee amendment amount asset value bill broker broker-dealer BUDGE Chairman COCCHI committee compensation CONGRESS THE LIBRARY contract contractual plan COUDERT court DACEY dealers directors drilling programs ECKHARDT Exchange Commission exemption face-amount certificates fact fiduciary duty front-end load fund's gas programs GRAYSON HARTWELL hearings incentive income interest investment advisers Investment Company Act Investment Company Institute investor Investors Syndicate June 30 KEITH legislation LIBRARY OF CONGRESS limited load funds LOEFFLER management fee McCoy ment Moss MOUND mutual fund industry NASD net asset value oil and gas operating paid percent performance fees POMERANTZ portfolio proposed prospectus purchase question reason record refund registered investment company regulation S&PI Yes sales charge sales load salesmen Section 28 Securities and Exchange self-regulation sell Senate shareholders staff statement STUCKEY THOMPSON tion Yes Ann York Stock Exchange
Passagens conhecidas
Página 696 - We must not make a scare-crow of the law, ' Setting it up to fear the birds of prey, And let it keep one shape, till custom make it Their perch, and not their terror.
Página 622 - SEC. 19. (a) The Commission shall have authority from time to time to make, amend, and rescind such rules and regulations as may be necessary to carry out the provisions of this title...
Página 938 - The process of rate making is essentially empiric. The stuff of the process is fluid and changing — the resultant of factors that must be valued as well as weighed. Congress has therefore delegated the enforcement of transportation policy to a permanent expert body and has charged it with the duty of being responsive to the dynamic character of transportation problems.
Página 623 - System, notwithstanding that such rule or regulation may, after such act or omission, be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.
Página 738 - It seems to me that what we are trying to do here is to prevent the employee from being, in the broad term convicted on his own statement.
Página 938 - Is, indeed, one of the basic poles of a specialized agency created to deal with a particular industry affected with a public interest.
Página 660 - ... (1) provides for compensation to the investment adviser on the basis of a share of capital gains upon or capital appreciation of the funds or any portion of the funds of the client...
Página 623 - The Commission, by rules and regulations upon its own motion, or by order upon application, may conditionally or unconditionally exempt any person, security, or transaction, or any class or classes of persons, securities, or transactions, from any provision...
Página 903 - The Securities and Exchange Commission, as a matter of policy, disclaims responsibility for any private publication by any of its employees. The views expressed herein are those of the author and do not necessarily reflect the views of the Commission or of the author's colleagues upon the staff of the Commission.
Página 707 - ... or of a plan of reorganization of any company (other than a plan devised for the purpose of evading the foregoing provisions), or (B) a security purchased with the proceeds of payments on pei'iodic payment plan certificates, pursuant to the terms of the trust indenture under which such certificates are issued ; or...