Mutual Fund Amendments: Hearings Before the Subcommittee on Commerce and Finance of the Committee on Interstate and Foreign Commerce, House of Representatives, Ninety-first Congress, First Session, on H.R. 11995, S. 2224, H.R. 13754, and H.R. 14737, Bills to Amend the Investment Company Act of 1940, the Investment Advisors Act of 1940, and the Securities Exchange Act of 1934

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Страница 674 - 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.
Страница 175 - ... 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.
Страница 236 - OF SECTION 17(a) OF THE SECURITIES ACT AND SECTION 10(b) OF THE EXCHANGE ACT AND RULE 10b-5 THEREUNDER...
Страница 57 - 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...
Страница 54 - ... (B) such person has reasonably discharged the duties and obligations incumbent upon him by reason of such procedures and system without reasonable cause to believe that such procedures and system were not being complied with.
Страница 56 - ... (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...
Страница 52 - ... (d) Any provision of this title (other than subsection (a) of this section) which prohibits any act, practice, or course of business if the mails or any means or instrumentality of interstate commerce are used in connection therewith shall also prohibit any such act, practice, or course of business by any...
Страница 41 - ... if any, of the gross payment or payments required to be made by the holder for such year, over and above the percentage of the gross annual payment required herein for such year for reserve purposes.
Страница 13 - ... acquired company ; (ii) securities issued by the acquired company having an aggregate value in excess of 5 per centum of the value of the total assets of the acquiring company; or (iii) securities issued by the acquired company and all other investment companies (other than Treasury stock of the acquiring company) having an aggregate value in excess of 10 per centum of the value of the total assets of the acquiring company. (B) It shall be unlawful for any registered open-end investment company...
Страница 914 - Is, indeed, one of the basic poles of a specialized agency created to deal with a particular industry affected with a public interest.

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