 | United States - 1988 - 1350 lapas
...approve, shares or certificates of any open-end management investment company which is registered with the Securities and Exchange Commission under the Investment Company Act of 1940 [15 USC 80a-l et seq.] and the portfolio of which is restricted by such investment company's investment... | |
 | United States. Congress. Senate. Committee on Finance - 1942 - 1092 lapas
...results from the fact that the new definition includes only investment funds which are registered with the Securities and Exchange Commission under the Investment Company Act of 1940. These mutual investment funds are exempted from registration by the Investment Company Act because... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1947 - 192 lapas
...it is promoting. In the third place any transactions with affiliates would be carefully scrutinized by the Securities and Exchange Commission under the Investment Company Act of 1940. , In the fourth place there are an abundance of general corporate criminal and special banking statutes—... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1947 - 218 lapas
...or between affiliates (including banking and insurance affiliates), arc subject to the authority of the Securities and Exchange Commission under the Investment Company Act of 1940 (exhibit 2-C). B. BASIS OF OPPOSITION TO BILL Point I. Its unsupportable legal premises. Point II.... | |
 | 1976 - 494 lapas
...written primarily for the guidance of auditors of mutual funds and closed-end companies registered with the Securities and Exchange Commission under the Investment Company Act of 1940, aa amended (the 40 Act). The AICPA 's Guide recognized that several types of Investment companies exist... | |
 | 1983 - 1346 lapas
...written primarily for the guidance of auditors of mutual funds and closed-end companies registered with the Securities and Exchange Commission under the Investment Company Act of 1940, as amended (the 40 Act). The AICPA's Guide recognized that several types of investment companies exist... | |
 | 1989 - 820 lapas
...Corporation; (8) Shares or certificates in any open-end management investment company registered with the Securities and Exchange Commission under the Investment Company Act of 1940, while the portfolio of such company is restricted by its investment policy, changeable only by vote... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1953 - 854 lapas
...Plan Corporation and its Affiliates (including The Equity Corporation) are now subject to supervision by the Securities and Exchange Commission under the Investment Company Act of 1940. Would the Congress now impose on us more Holding Company supervision and by another Agency? Is the... | |
 | United States. Internal Revenue Service - 1967 - 1388 lapas
...small business investment company under the Small Business Investment Act of 1958, registered with the Securities and Exchange Commission under the Investment Company Act of 1940, as amended, as a closed-end, nondiyersified, management company in 1961. In 1964, the taxpayer qualified... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1953 - 884 lapas
...Brief, Article VII). (6) To ignore the efficacy of existing Holding Company supervision on the part of the Securities and Exchange Commission. Under the Investment Company Act of 1940 there is the most stringent and effective control of the affairs of "Registered Investment Companies"... | |
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... with the Securities and Exchange Commission under the Investment Company Act of 1940, such reliance would constitute reasonable cause for purposes of this paragraph. 
