 | United States. Small Business Administration - 1969 - Broj stranica: 482
...regulations. Section 17 (a) makes unlawful certain transactions where an affiliated person or promoter of, or principal underwriter for, a registered investment company, or affiliated person of such person, promoter, or principal underwriter, acting as principal borrows from or makes purchases from... | |
 | United States. Securities and Exchange Commission - 1941 - Broj stranica: 1124
...provides: It shall be unlawful for any of the following persons to serve or act In the capacity of officer, director, member of an advisory board, Investment adviser, or depositor of any registered Investment company, or principal underwriter for any registered openend company, registered... | |
 | United States. Securities and Exchange Commission - 1951 - Broj stranica: 862
...provides: It shall be unlawful for any of the following persons to serve or act in the capacity of officer, director, member of an advisory board, investment adviser, or depositor of any registered investment company, or principal underwriter for any registered open-end company, registered... | |
 | United States. Securities and Exchange Commission - 1943 - Broj stranica: 1160
...provides : It shall be unlawful for any of the following persons to serve or act In the capacity of officer, director, member of an advisory board, Investment adviser, or depositor of any registered investment company, «r principal underwriter for any (Footnote 1 continued on p. 458.)... | |
 | United States. Congress. House. Committee on Interstate and Foreign Commerce - 1940 - Broj stranica: 164
...SEC. 9. (a) It shall be unlawful for any of the following persons to serve or act in the capacity of officer, director, member of an advisory board, investment adviser, or depositor of any registered investment company, or principal underwriter for any registered open-end company, registered... | |
 | United States - 1994 - Broj stranica: 1332
...administrative action of Commission The Commission may, after notice and opportunity for hearing, by order 0 mh 4U$ h:1s 8 qf : h {_ L E- F z < Wͽeר >~ MH ާ...- 1w nu % x ps _ I / ` 5 8w 2 f P L U OW eKP Z~ K> (1) has willfully made or caused to be made in any registration statement, application or report filed... | |
 | United States - 1953 - Broj stranica: 1692
...underwriters. (a) It shall be unlawful for any of the following persons to serve or act in the capacity of the Federal Power Commission were, with certain reservations, transferred to the Ch any registered investment company, or principal underwriter for any registered open-end company, registered... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1953 - Broj stranica: 854
...SEC. 9. (a) It shall be unlawful for any of the following persons to serve or act in the capacity of officer, director, member of an advisory board, investment adviser, or depositor of any registered investment company, or principal underwriter for any registered open-end company, registered... | |
 | United States. Congress. Senate. Banking and Currency Committee - 1959 - Broj stranica: 658
...SEC. 9. (a) It shall be unlawful for any of the following persons to serve or act in the capacity of officer, director, member of an advisory board, investment adviser, or depositor of any registered investment company, or principal underwriter for any registered open-end company, registered... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1967 - Broj stranica: 132
...(b) to read as follows: "(6) The Commission may, after notice and opportunity for hearing, by order prohibit, conditionally or unconditionally, either...depositor, or principal underwriter if such person: "(1) has willfully made or caused to be made in any registration statement application or report filed... | |
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SEC. 9. [80a-9] (a) It shall be unlawful for any of the following persons to serve or act in the capacity of employee, officer, director, member of an advisory board, investment adviser, or depositor... 
