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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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Innovation: startup, growth, and survival of small, new technology firms ...

United States. Congress. House. Committee on Science and Technology - 1980 - 228 páginas
...other periods to the business of venture capital. We have reference to the contemplated application of the Investment Company Act of 1940 and the Investment Advisers Act of 1940, to what we are doing in venture capital. We do not seek protection, we do not seek to be underwritten...
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Administration of the Employee Retirement Income Security Act, ERISA: A ...

United States. Office of Management and Budget - 1980 - 81 páginas
...Commission. The Commission administers the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940, which may, in some cases, affect employee benefit plans, and the requirements of ERISA. 6. Small Business...
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Financial Institutions Restructuring and Services Act of 1981: Hearings ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs - 1981
...exemptions for banks contained in the Securities Act of 1933, the Securities and Exchange Act of 1934, the Investment Company Act of 1940 and the Investment Advisers Act of 1940. All these exemptions found their rationale in the argument that banks were substantially barred from...
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Clarify Jurisdiction of SEC and Definition of Security: Hearing Before the ...

United States. Congress. House. Committee on Agriculture. Subcommittee on Conservation, Credit, and Rural Development - 1982 - 50 páginas
...6156 WOULD AMEND THE SECURITIES LAWS (THE SECURITIES ACT OF 1933, THE SECURITIES EXCHANGE ACT OF 1934, THE INVESTMENT COMPANY ACT OF 1940, AND THE INVESTMENT ADVISERS ACT OF 1940) TO EXPRESSLY INCLUDE OPTIONS IN THE DEFINITION OF . "SECURITY" IN THESE STATUTES. THIS WOULD MAKE EXPLICIT...
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Nominations of Bevis Longstreth and James C. Treadway, Jr: Hearing Before ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs - 1982 - 54 páginas
...Exchange Act of 1934, registration, reporting, applications for exemptions and other matters under the Investment Company Act of 1940 and the Investment Advisers Act of 1940, stock and asset acquisitions and mergers involving both public and private companies, leveraged buy-outs,...
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Commodity Futures Trading Commission Reauthorization: Hearings Before the ...

United States. Congress. Senate. Committee on Agriculture, Nutrition, and Forestry. Subcommittee on Agricultural Research and General Legislation - 1982 - 748 páginas
...the underlying commodity which is traded, that is, whether regarded by the SEC as a security or not, the Investment Company Act of 1940 and the Investment Advisers Act of 1940 are inapplicable. As background in connection with the State regulation area, notwithstanding explicit...
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SEC Oversight and Technical Amendments: Hearing Before the ..., Volumen4

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance - 1984 - 373 páginas
...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 the Investment Advisers Act of 1940 to make certain technical, clarifying, and conforming amendments, and for other purposes. IN THE HOUSE...
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Bush task group report on regulation of financial services: Blueprint for ...

United States. Congress. House. Committee on Government Operations. Commerce, Consumer, and Monetary Affairs Subcommittee - 1985
...which full registration is unnecessary. The Commission currently has broad exemptive authority under the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Similar flexibility is needed under the Securities Act. The Commission deals with a variety of situations...
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Bonneville Power Administration (BPA) and Washington Public Power Supply ...

United States. Congress. House. Committee on Interior and Insular Affairs. Subcommittee on Mining, Forest Management, and Bonneville Power Administration - 1985
...are the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940. Each act contains powers enabling SEC to control and maintain the integrity of the investment security...
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The Bonneville Power Administration (BPA) and Washington Public ..., Volumen1

United States. Congress. House. Committee on Interior and Insular Affairs. Subcommittee on Mining, Forest Management, and Bonneville Power Administration - 1985
...are the Securities Act of 1933, the Securities Exchange Act of 1934, the Trust Indenture Act of 1939, the Investment Company Act of 1940, and the Investment Advisers Act of 1940. Each act contains powers enabling SEC to control and maintain the integrity of the investment security...
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