...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. In addition, the Commission has responsibilities under the federal bankruptcy laws. 22 30 to 90 day...

...Commission studied common trust funds in the 1930s as part of its Trust Study that led to passage of the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Common trust funds were exempted from the definitions included in these Acts and interests in such...

...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...

...principal legislative mandates are the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940. Each contains explicit authority for the Commission to conduct investigations and, where unlawful conduct...

...the regulatory framework for bank-affiliate dealings in this area, it may provide useful guidance. The Investment Company Act of 1940 and the Investment Advisers Act of 1940 contain specific provisions designed to protect Investors from the special conflicts of interest that...

...principal legislative mandates are the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940. Each contains explicit authority for the Commission to conduct investigations and, where unlawful conduct...

...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....

...monetary penalties for violations of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940. The Commission also would be authorized to impose civil penalties of up to $100,000 per violation by...

...monetary penalties for violations of the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940. The Commission also would be authorized to impose civil penalties of up to $100,000 per violation by...

...Enforcement Cooperation Act of 1989." This proposal would amend the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940. On June 3, 1988, the Commission submitted to Congress a substantially similar legislative proposal,...