...did not engage in transactions of the kind described or that such transactions are not violative of the antifraud provisions of the Securities Act and the Securities Exchange Act. Counsel has Bought to urge, however, that these violations were not "willful" but were the result of...

...he is registered under the Investment Advisers Act, is subject, for any fraud which he commits, to the anti-fraud provisions of the Securities Act and the Securities Exchange Act and the sanctions provided for in those statutes. Registrant's contention would produce the anomalous result...

...I believe Mr. McDonald also pointed out, the remedies available under what we generally describe as the antifraud provisions of the Securities Act and the Securities Exchange Act, section 17 of the Securities Act and section 10 (b) of the Securities Exchange Act and rule 10b-5 thereunder,...

...think the SEC's disclosure requirements obviously will be the final word as to them, of course, since the antifraud provisions of the Securities Act and the Securities Exchange Act are applicable to all securities sales by all banks, the courts might be considered the final arbiters...

...think the SEC's disclosure requirements obviously will be the final word as to them, of course, since the antifraud provisions of the Securities Act and the Securities Exchange Act are applicable to all securities sales by all banks, the courts might be considered the final arbiters...

...requirements of the Securities Act, unless an exemption therefrom is available, and must comply with the anti-fraud provisions of the Securities Act and the Securities Exchange Act and the regulations thereunder. H' The guidelines summarize the types of properties which the SEC laws...

...requirements of the Securities Act, unless an exemption therefrom is available, and must comply with the anti-fraud provisions of the Securities Act and the Securities Exchange Act and the regulations thereunder. In addition, persons engaged in the business of buying or selling investment...

...Exchange Act. With respect to such collective investment media, ERISA provides no adequate substitute for the antifraud provisions of the Securities Act and the Securities Exchange Act. ttie general disclosure provisions of Part 1 of Title I of ERISA do not apply at all to the relationship...

...clause of Section 4(1) of the . -' Securities Act of 1933. .3"(c) In the above cases, violations of the anti-fraud provisions of the Securities Act and the Securities Exchange Act nay be involved. The public 1» led to believe by the prospectus,' selling solicitations and newspaper...

...of hedge funds to determine if any other regulatory response is appropriate or necessary. Id. at 5. ':The antifraud provisions of the Securities Act and the Securities Exchange Act apply to the sale of a private fund's securities, whether or not the fund is registered. "In addition,...