 | United States. Congress. Senate. Committee on Finance - Excess profits tax - 1940 - 512 pages
...classified as "diversified" companies. Its stockholders will thus have great diversification. A company registered with the Securities and Exchange Commission under the Investment Company Act as "diversified" may change its registration to that of a "nondiversified" company at any time and... | |
 | United States - Law - 1988 - 1350 pages
...Board may so 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 - Finance - 1942 - 1092 pages
...the new definition 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 pages
...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—... | |
 | Administrative law - 1995 - 456 pages
...(c)(4), investment company stock purchased by a state member bank must be of an investment company registered with the Securities and Exchange Commission...Investment Company Act of 1940 and the Securities Act of 1933. (4) Privately offered fund. The stock purchased may be of a privately offered fund if... | |
 | Administrative law - 1996 - 474 pages
...(c)(4), investment company stock purchased by a state member bank must be of an investment company registered with the Securities and Exchange Commission...Investment Company Act of 1940 and the Securities Act of 1933. (4) Privately offered fund. The stock purchased may be of a privately offered fund if... | |
 | Administrative law - 1989 - 820 pages
...invest in, redeem, or hold shares or certificates in any open-end management investment company which is registered with the Securities and Exchange Commission under the Investment Company Act of 1940 and the portfolio of which is restricted by such management company's investment Policy, changeable only if... | |
 | Administrative law - 1982 - 884 pages
...of its assets; and (i) Shares or certificates in any open-end management investment company which is registered with the Securities and Exchange Commission under the Investment Company Act of 1940 and the portfolio of which is restricted by such management company's investment policy, changeable only if... | |
 | Administrative law - 2002 - 564 pages
...loans. 15. This authority is limited to investments in open-end management investment companies that are registered with the Securities and Exchange Commission under the Investment Company Act of 1940. The portfolio of the investment company must be restricted by the company's investment policy (changeable... | |
 | Administrative law - 2000 - 520 pages
...estate loans. "This authority is limited to investments in open-end management investment companies that are registered with the Securities and Exchange Commission under the Investment Company Act of 1940. The portfolio of the investment company must be restricted by the company's investment policy (changeable... | |
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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. 
