Investment Advisers Act Amendments: Hearings Before the Subcommittee on Consumer Protection and Finance of the Committee on Interstate and Foreign Commerce, House of Representatives, Ninety-fourth Congress, Second Session, on H.R. 12981 and H.R. 13737 ... May 20 and 21, 1976U.S. Government Printing Office, 1976 - 153 страница |
Друга издања - Прикажи све
Чести термини и фразе
activities Administrative discretion advice advisory committees agency application appropriate authority bank bill bond BRODHEAD broker or dealer broker-dealers brokerage candidate Chairman Chartered Financial Analysts clients Commission's Commodities Exchange Act concern CONGRESS THE LIBRARY definition of investment Director disclosure employees enacted enforcement establish examination Exchange Commission experience fiduciary Financial Analysts Federation financial responsibility ICFA Institute of Chartered interest Investment Advisers Act Investment Company Institute investment counsel firms Investment Management jurisdiction LIBRARY OF CONGRESS MCCOLLISTER membership ment adviser minimum MURPHY mutual funds NASD NYSE NYSSA OPPER persons associated preemption profession qualification standards qualifications and financial registered investment advisers regulation of investment regulatory respect right of action rules Section 203 Securities and Exchange Securities Exchange Act securities laws security analysts self-regulation self-regulatory organization Senate specific standards of professional standards of qualification statement statute Subcommittee tion vestment adviser visers York York Stock Exchange
Популарни одломци
Страница 28 - Investment adviser" means any person who, for compensation, engages in the business of advising others, either directly or through publications or writings, as to the value of securities or as to the advisability of investing in, purchasing, or selling securities, or who, for compensation and as a part of a regular business, issues or promulgates analyses or reports concerning securities. "Investment adviser...
Страница 35 - The provisions of subsection (a) shall not apply to — (1) any investment adviser all of whose clients are residents of the State within which such investment adviser maintains his or its principal office and place of business, and who does not furnish advice or issue analyses or reports with respect to securities listed or admitted to unlisted trading privileges on any national securities exchange...
Страница 140 - USC 80b-l-80b-21) provides that persons who, for compensation, engage in the business of advising others with respect to their security transactions must register with the Commission. The...
Страница 13 - 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.
Страница 152 - ... any person directly or indirectly controlling, controlled by, or under common control with, such other person...
Страница 140 - ... any broker or dealer whose performance of such services is solely incidental to the conduct of his business as a broker or dealer and who receives no special compensation therefor...
Страница 152 - ... thereof), persons associated with a broker or dealer whose functions are clerical or ministerial shall not be included in the meaning of such term. The Commission may by rules and regulations classify, for the purpose of any portion or portions of this title, persons, including employees, controlled by a broker or a dealer. (19) The terms "investment company", "affiliated person", and "insurance company" have the same meanings as in the Investment Company Act of 1940. (20) The terms "investment...
Страница 34 - All such funds and securities of clients are verified by actual examination at least once during each calendar year by an independent public accountant at a time which shall be chosen by such accountant without prior notice to the investment adviser.
Страница 70 - The sum of twenty-five thousand dollars ($25,000), or so much thereof as may be necessary, is hereby appropriated from any moneys in the state treasury in the general fund to the credit of the state purposes fund, not otherwise appropriated, to the commission hereby created and made immediately available for its expenses, including personal service, in carrying out the provisions of this act.
Страница 42 - ... (11) A record of the proof of money balances of all ledger accounts in the form of trial balances...