Mutual Fund Amendments: Hearings, Ninety-first Congress, First Session, on H.R. 11995, S. 2224, H.R. 13754, and H.R. 14737 ...
United States. Congress. House. Committee on Interstate and Foreign Commerce. Subcommittee on Commerce and Finance
U.S. Government Printing Office, 1970 - 952
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accounts action additional advisory amendment amount appear assets Association average believe bill capital certificate Chairman charge Cocchi Commission committee compensation Congress continue contract contractual plan cost court drilling ECKHARDT effect Exchange expenses fact feel fees fiduciary figures give going hearings income increased industry interest Investment Company Investment Company Act investor KEITH legislation letter LIBRARY limited load loss matter McCoy means ment months Moss mutual fund objection offer oil and gas operating paid payments percent performance period permitted person present president problem programs proposed purchase question reason received record referred registered regulation representatives respect result rules sales load securities sell Senate shareholders shares staff statement STUCKEY tion understand York
Strona 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.
Strona 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.
Strona 623 - System, notwithstanding that such rule or regulation may, after such act or omission, be amended or rescinded or be determined by judicial or other authority to be invalid for any reason.
Strona 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.
Strona 938 - Is, indeed, one of the basic poles of a specialized agency created to deal with a particular industry affected with a public interest.
Strona 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...
Strona 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...
Strona 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.
Strona 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...