Tag: Investment Companies and Advisers

15-U.S.C.-80A-51 §80A-51 – §80A-51. Short Title Pathway Title 15 > Chapter 2D > Subchapter I > Section 80a-51 Details Reference: Section 80a-51 Legend: §80A-51 – §80A-51. Short Title USCode Year: 2013 Provision Content This subchapter may be cited as the Investment Company Act of 1940. (Aug. 22, 1940, ch. 686, title I, §52, 54 Stat. 847.) Short Title of 1996 Amendment…

15-U.S.C.-80A-51 §80A-51 – §80A-51. Short Title Pathway Title 15 > Chapter 2D > Subchapter I > Section 80a-51 Details Reference: Section 80a-51 Legend: §80A-51 – §80A-51. Short Title USCode Year: 2013 Provision Content This subchapter may be cited as the Investment Company Act of 1940. (Aug. 22, 1940, ch. 686, title I, §52, 54 Stat. 847.) Short Title of 1996 Amendment…

15-U.S.C.-80A-3A §80A-3A – §80A-3A. Protection of Philanthropy Under State Law Pathway Title 15 > Chapter 2D > Subchapter I > Section 80a-3a Details Reference: Section 80a-3a Legend: §80A-3A – §80A-3A. Protection of Philanthropy Under State Law USCode Year: 2013 Provision Content (a) Registration requirements A security issued by or any interest or participation in any pooled income fund, collective trust fund,…

15-U.S.C.-80A-3A §80A-3A – §80A-3A. Protection of Philanthropy Under State Law Pathway Title 15 > Chapter 2D > Subchapter I > Section 80a-3a Details Reference: Section 80a-3a Legend: §80A-3A – §80A-3A. Protection of Philanthropy Under State Law USCode Year: 2013 Provision Content (a) Registration requirements A security issued by or any interest or participation in any pooled income fund, collective trust fund,…

15-U.S.C.-80B-18A §80B-18A – §80B-18A. State Regulation of Investment Advisers Pathway Title 15 > Chapter 2D > Subchapter II > Section 80b-18a Details Reference: Section 80b-18a Legend: §80B-18A – §80B-18A. State Regulation of Investment Advisers USCode Year: 2013 Provision Content (a) Jurisdiction of State regulators Nothing in this subchapter shall affect the jurisdiction of the securities commissioner (or any agency or officer…

15-U.S.C.-80A-7 §80A-7 – §80A-7. Transactions By Unregistered Investment Companies Pathway Title 15 > Chapter 2D > Subchapter I > Section 80a-7 Details Reference: Section 80a-7 Legend: §80A-7 – §80A-7. Transactions By Unregistered Investment Companies USCode Year: 2013 Provision Content (a) Prohibition of transactions in interstate commerce by companies No investment company organized or otherwise created under the laws of the United…

15-U.S.C.-80A-7 §80A-7 – §80A-7. Transactions By Unregistered Investment Companies Pathway Title 15 > Chapter 2D > Subchapter I > Section 80a-7 Details Reference: Section 80a-7 Legend: §80A-7 – §80A-7. Transactions By Unregistered Investment Companies USCode Year: 2013 Provision Content (a) Prohibition of transactions in interstate commerce by companies No investment company organized or otherwise created under the laws of the United…

15-U.S.C.-80B-1 §80B-1 – §80B-1. Findings Pathway Title 15 > Chapter 2D > Subchapter II > Section 80b-1 Details Reference: Section 80b-1 Legend: §80B-1 – §80B-1. Findings USCode Year: 2013 Provision Content Upon the basis of facts disclosed by the record and report of the Securities and Exchange Commission made pursuant to section 79z–4  of this title, and facts otherwise disclosed and…

15-U.S.C.-80B-1 §80B-1 – §80B-1. Findings Pathway Title 15 > Chapter 2D > Subchapter II > Section 80b-1 Details Reference: Section 80b-1 Legend: §80B-1 – §80B-1. Findings USCode Year: 2013 Provision Content Upon the basis of facts disclosed by the record and report of the Securities and Exchange Commission made pursuant to section 79z–4  of this title, and facts otherwise disclosed and…