| United States. President's Commission on Organized Crime - 1986 - 426 páginas
...Securities Act of 1933, the Public Utility Holding Company Act of 1935, Trust Indenture Act of 1939, Investment Company Act of 1940, and the Investment Advisers Act of 1940. Among other things, the SEC is responsible for insuring that pertinent and material facts concerning... | |
| United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs - 1989 - 64 páginas
...Commission to impose civil penalties in certain administrative proceedings under the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940. In addition to the civil penalty provisions, the proposal contains three other new enforcement remedies.... | |
| United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs - 1989 - 72 páginas
...Commission to impose civil penalties in certain administrative proceedings under the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940. In addition to the civil penalty provisions, the proposal contains three other new enforcement remedies.... | |
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