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" Commission is responsible for the administration and enforcement of the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and... "
Annual Report of the SEC. - Página 194
por United States. Securities and Exchange Commission - 1963
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United States Government Manual

1942
...Indenture Act of 1939 ; registration and regulation of investment companies and investment advisers under the Investment Company Act of 1940 and the Investment Advisers Act of 1940; and the preparation of advisory reports on plans, and participation as a party, in corporate reorganizations...
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Code of Federal Regulations: Containing a Codification of Documents of ...

1998
...is responsible to the Commission for the administration of the Commission's responsibilities under the Investment Company Act of 1940 and the Investment Advis-ers Act of 1940, the administration and execution of the Public UtiUty Holding Company Act of 1935, and with respect...
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Code of Federal Regulations: Containing a Codification of Documents of ...

2000
...all civil monetary penalties under the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940 are adjusted for inflation in accordance with Table I to this subpart. The adjustments set forth in...
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Bank Holding Bill, Hearing Before a Subcommittee of ..., 81-on S. 2318 ...

United States. Congress. Senate. Committee on Banking and Currency - 1950 - 376 páginas
...corporation. Exemption of subsidiaries from Investment Company and Advisers Acts. — S. 829 exempted from the Investment Company Act of 1940 and the Investment Advisers Act of 1940, the bank holding company subsidiaries conforming to the definition of "subsidiary." S. 2318 slightly...
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United States of America, Plaintiff, Against Henry S. Morgan, Harold Stanley ...

1950 - 4 páginas
...1934, as amended, the Public Utilities Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940." HR 5065 was a bill "To amend Paragraph (1) of Section 2 of the Securities Act of 1933, as amended,...
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Study of Securities and Exchange Commission: Hearings Before a ..., Partes1-2

United States. Congress. House. Committee on Interstate and Foreign Commerce - 1952 - 1224 páginas
...SECURITIES AND EXCHANGE COMMISSION Chairman HELI.KH. I understand you are going to testify today on the Investment Company Act of 1940, and the Investment Advisers Act of 1940, is that correct? Commissioner ROWEN. That is correct. Chairman HELLER. Do you adopt the statement contained...
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Second Independent Offices Appropriations for 1954, Hearings Before ... 83-1 ...

United States. Congress. Senate. Appropriations Committee - 1953 - 487 páginas
...statute which is subject to our jurisdiction was passed prior to that date, the most recent ones being the Investment Company Act of 1940 and the Investment Advisers Act of 1940. It is therefore apparent, it seems to me, that the amount of work which the Commission has to do has...
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Miscellaneous Hearings: Hearings Before 83-2 on H.R. 7997 ... S. 1990 and S ...

United States. Congress. House. Committee on Agriculture - 1954 - 199 páginas
...Exchange Act of 1934, the Public Utilities Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940, which constitute the statutory authority or base of the Securities and Exchange Commission. Mr. GOLDEN....
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Independent Offices Appropriations, 1957: Hearings, Eighty-fourth Congress ...

United States. Congress. Senate. Committee on Appropriations - 1956 - 533 páginas
...until September 1934), the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940. The Commission also serves as adviser to Federal courts in corporate reorganization proceedings under...
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Authorizing Abbriviated Records in Reviewing Administrative Agency Proceedings

United States. Congress. House. Committee on the Judiciary - 1957
...provisions of the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Investment Company Act of 1940, and the Investment Advisers Act of 1940, so as to provide inter alia that upon the filing of a petition for review the court of appeals shall...
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