Congress passed historic banking regulations during the New Deal, including the Glass-Steagall Banking Act of 1933, the Securities Act of 1933, and the Public Utility Holding Company Act of 1935, all of which vastly expanded the role of the federal government in overseeing and regulating Wall Street.
While it is the duty of managers to work to maximize shareholder wealth by working for what is in the best interest of the company, not all managers act on behalf of the company at all times.
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There are tons of guides available for how and how not to act during the course of a company holiday event, but what about the morning after?
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Whitney Holdings is a Louisiana bank holding company registered pursuant to the Bank Holding Company Act of 1956.
If you want to know how to not protect investors, take a good look at the Investment Company Act of 1940.
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Investment companies are regulated primarily under the Investment Company Act of 1940.
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According to the 2007 National Business Ethics Survey conducted by the Ethics Resource Center, more than half of employees witnessed an act of misconduct in their company within the past year.
At the heart of the problem is the fact that the Commission continues to believe the legal fictions incorporated in the Investment Company Act of 1940, the federal statute that regulates mutual funds.
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That's part of the reason that Chuck is here today -- he's the president of a construction company in Pennsylvania, and the Recovery Act will fund about a third of the work his paving company will do this year.
The intent behind the Investment Company Act of 1940, which regulates mutual funds, and the Investment Advisers Act of 1940, which regulates money managers, was to provide investors with the important information they needed in order to determine whether to invest with a given manager and to judge the ongoing performance of their managers.
By law--the American Inventors Protection Act of 1999--the company Web site must disclose its batting average.
Consumers are turning to tablets, and away from PCs, so the business needs to act quickly and independent of other company interests.
Texas: Information was provided to Wealthfront by the Investment Office at the University of Texas Investment Management Company upon request under Freedom of Information Act. 9 May 2011.
The figures were issued after a Freedom of Information Act request by data company Imation Mobile Security.
There is some certainty that the government will act to bail the company out of trouble, but nobody knows where the buck stops.
For a leader to believe that he solely has the information and knowledge to act within the best interests of the company is flawed.
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The challenge for Dell is that it will be competing against Acer, Lenovo and others - but the sheer size of the company should act as an advantage.
According to an SEC official, the regulators are evaluating whether derivatives are being used by mutual funds and ETFs in ways that are consistent with the protections of the Investment Company Act.
For example, in the entire history of the Investment Company Act (the federal statute applicable to mutual funds) only one Compliance Director to a mutual fund adviser has ever blown the whistle on his employer since 1940.
Contrary to public opinion, which tends to regard foreign investment by German companies as a job-killing act of economic treachery, the car company says that the increase is due partly to its new factory in the United States.
Of particular interest to hedge fund managers, privately offered funds will be able to conduct offerings using general solicitations or general advertisements under the new amendments, without losing either of the very important exclusions under Sections 3(c)(1) or 3(c)(7) of the Investment Company Act.
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The Investment Company Act guards against overuse of leverage in mutual funds to protect retail investors.
For anyone who'd cursed out their cable company, the Telecommunications Act of 1996 promised salvation by allowing competitors to "overbuild" on top of entrenched local cable companies.
" Deborah A. Batts has decided to not throw out the case which Atlantic, BMG Music, Capitol Records, and "other music distribution companies" filed against XM, and claims that the Audio Home Recording Act of 1992 does "not protect the company in this instance.
Judge Jackson ruled today that Microsoft violated two sections of the Sherman Antitrust Act, and his ruling dealing with the company maintaining its monopoly through predatory behavior is the strongest part of his verdict, Hayter said.
Given this judicial backdrop to the language of the Smith Act, the lawyer representing a U.S.company which retains Shariah authorities must be critically aware of several threatening circumstances.
Behind the warm and fuzzy facade is a merciless commercial hierarchy ruled by an oligopoly of carriers as indispensible as the local electric company--and with the clout to act like a bunch of bullies.
Behind the warm and fuzzy facade is a merciless commercial hierarchy ruled by an oligopoly of carriers as indispensable as the local electric company--but with the clout to act like a bunch of bullies.
Last year's repeal of the Public Utility Holding Company Act removed restrictions on who could run utilities.
Instead, throughout the 1980s the SEC routinely issued exemptions from regulation under the applicable law, the Investment Company Act, for all sorts of structured products with remarkably little analysis.
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