CHAPTER 2D — Investment Companies and Advisers
93 sections.
SUBCHAPTER I — INVESTMENT COMPANIES 65 sections
- § 80a–1. — Findings and declaration of policy
- § 80a–2. — Definitions; applicability; rulemaking considerations
- § 80a–3. — Definition of investment company
- § 80a–3a. — Protection of philanthropy under State law
- § 80a–4. — Classification of investment companies
- § 80a–5. — Subclassification of management companies
- § 80a–6. — Exemptions
- § 80a–7. — Transactions by unregistered investment companies
- § 80a–8. — Registration of investment companies
- § 80a–9. — Ineligibility of certain affiliated persons and underwriters
- § 80a–10. — Affiliations or interest of directors, officers, and employees
- § 80a–11. — Offers to exchange securities
- § 80a–12. — Functions and activities of investment companies
- § 80a–13. — Changes in investment policy
- § 80a–14. — Size of investment companies
- § 80a–15. — Contracts of advisers and underwriters
- § 80a–16. — Board of directors
- § 80a–17. — Transactions of certain affiliated persons and underwriters
- § 80a–18. — Capital structure of investment companies
- § 80a–19. — Payments or distributions
- § 80a–20. — Proxies; voting trusts; circular ownership
- § 80a–21. — Loans by management companies
- § 80a–22. — Distribution, redemption, and repurchase of securities; regulations by securities associations
- § 80a–23. — Closed-end companies
- § 80a–24. — Registration of securities under Securities Act of 1933
- § 80a–25. — Reorganization plans; reports by Commission
- § 80a–26. — Unit investment trusts
- § 80a–27. — Periodic payment plans
- § 80a–28. — Face-amount certificate companies
- § 80a–29. — Reports and financial statements of investment companies and affiliated persons
- § 80a–30. — Accounts and records
- § 80a–31. — Accountants and auditors
- § 80a–32. — Filing of documents with Commission in civil actions
- § 80a–33. — Destruction and falsification of reports and records
- § 80a–34. — Unlawful representations and names
- § 80a–35. — Breach of fiduciary duty
- § 80a–36. — Larceny and embezzlement
- § 80a–37. — Rules, regulations, and orders
- § 80a–38. — Procedure for issuance of rules and regulations
- § 80a–39. — Procedure for issuance of orders
- § 80a–40. — Hearings by Commission
- § 80a–41. — Enforcement of subchapter
- § 80a–42. — Court review of orders
- § 80a–43. — Jurisdiction of offenses and suits
- § 80a–44. — Disclosure of information filed with Commission; copies
- § 80a–45. — Reports by Commission; hiring and leasing authority
- § 80a–46. — Validity of contracts
- § 80a–47. — Liability of controlling persons; preventing compliance with subchapter
- § 80a–48. — Penalties
- § 80a–49. — Construction with other laws
- § 80a–50. — Separability
- § 80a–51. — Short title
- § 80a–52. — Effective date
- § 80a–53. — Election to be regulated as business development company
- § 80a–54. — Acquisition of assets by business development companies
- § 80a–55. — Qualifications of directors
- § 80a–56. — Transactions with certain affiliates
- § 80a–57. — Changes in investment policy
- § 80a–58. — Incorporation of subchapter provisions
- § 80a–59. — Functions and activities of business development companies
- § 80a–60. — Capital structure
- § 80a–61. — Loans
- § 80a–62. — Distribution and repurchase of securities
- § 80a–63. — Accounts and records
- § 80a–64. — Preventing compliance with subchapter; liability of controlling persons
SUBCHAPTER II — INVESTMENT ADVISERS 28 sections
- § 80b–1. — Findings
- § 80b–2. — Definitions
- § 80b–3. — Registration of investment advisers
- § 80b–3a. — State and Federal responsibilities
- § 80b–4. — Reports by investment advisers
- § 80b–4a. — Prevention of misuse of nonpublic information
- § 80b–5. — Investment advisory contracts
- § 80b–6. — Prohibited transactions by investment advisers
- § 80b–6a. — Exemptions
- § 80b–7. — Material misstatements
- § 80b–8. — General prohibitions
- § 80b–9. — Enforcement of subchapter
- § 80b–10. — Disclosure of information by Commission
- § 80b–10a. — Consultation
- § 80b–11. — Rules, regulations, and orders of Commission
- § 80b–12. — Hearings
- § 80b–13. — Court review of orders
- § 80b–14. — Jurisdiction of offenses and suits
- § 80b–15. — Validity of contracts
- § 80b–16. — Omitted
- § 80b–17. — Penalties
- § 80b–18. — Hiring and leasing authority of Commission
- § 80b–18a. — State regulation of investment advisers
- § 80b–18b. — Custody of client accounts
- § 80b–18c. — Rule of construction relating to the Commodities Exchange Act
- § 80b–19. — Separability
- § 80b–20. — Short title
- § 80b–21. — Effective date