Search Images Maps Play YouTube News Gmail Drive More »
Sign in
Libros Libros
" 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
Vista completa - Acerca de este libro

Electronic Collection and Dissemination of Information by Federal Agencies ...

United States. Congress. House. Committee on Government Operations. Government Information, Justice, and Agriculture Subcommittee - 1986 - 592 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. In addition, the Commission has responsibilities under the federal bankruptcy laws. 22 30 to 90 day...
Vista completa - Acerca de este libro

Restructuring Financial Markets: The Major Policy Issues : a Report, Volumen4

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications, Consumer Protection, and Finance - 1986 - 399 páginas
...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...
Vista completa - Acerca de este libro

The Edge: Organized Crime, Business, and Labor Unions :report to ..., Volumen1

United States. President's Commission on Organized Crime - 1986 - 393 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...
Vista completa - Acerca de este libro

Securities Regulation Issues: Hearings Before the Subcommittee on ...

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance - 1988 - 449 páginas
...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...
Vista completa - Acerca de este libro

Reform of the Nation's Banking and Financial Systems: Hearings ..., Parte2

United States. Congress. House. Committee on Banking, Finance, and Urban Affairs. Subcommittee on Financial Institutions Supervision, Regulation and Insurance - 1987
...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...
Vista completa - Acerca de este libro

Securities Regulation Issues: Hearings Before the Subcommittee on ...

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance - 1988 - 449 páginas
...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...
Vista completa - Acerca de este libro

Nominations of David C. Mulford and Robert R. Glauber: Hearing ..., Volumen4

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs - 1989 - 60 páginas
...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....
Vista completa - Acerca de este libro

Reauthorizations for the Securities and Exchange Commission, 1990-92 ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - 1989 - 219 páginas
...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...
Vista completa - Acerca de este libro

SEC Reauthorization: Hearing Before the Subcommittee on ..., Volumen4

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance - 1989 - 262 páginas
...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...
Vista completa - Acerca de este libro

International Securities Enforcement: Hearing Before the ..., Volumen4

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance - 1989 - 176 páginas
...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,...
Vista completa - Acerca de este libro




  1. Mi biblioteca
  2. Ayuda
  3. Búsqueda avanzada de libros
  4. Descargar EPUB
  5. Descargar PDF