...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...

...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...

...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...

...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...

...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,...

...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...

...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...

...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...

...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...

...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...