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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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Securities Laws Enforcement: Hearing Before the Subcommittee on ..., Volumen4

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance - 1989 - 167 páginas
...civil money 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. Third, the bill would clarify that Federal courts may, as ancillary relief in Commission injunctive...
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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....
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IPP's and the Public Utility Holding Company Act: Hearing Before ..., Volumen4

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Energy and Power - 1989 - 296 páginas
...In addition to its major responsibilities in regulating mutual funds and investment advisers under the Investment Company Act of 1940 and the Investment Advisers Act of 1940, the Division of Investment Management also administers the Public Utility Holding Company Act of 1935...
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Departments of Commerce, Justice, and State, the Judiciary, and ..., Parte6

United States. Congress. House. Committee on Appropriations. Subcommittee on the Departments of Commerce, Justice, and State, the Judiciary, and Related Agencies - 1989
...Securities Act of 1933, 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 194C. By terms of Chapter 11 of the Bankruptcy Code, the Commission also participates in the Federal...
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The Securities Law Enforcement Remedies Act of 1989: Hearings ..., Volumen4

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs. Subcommittee on Securities - 1990 - 490 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; authorize the Commission to issue cease-and-desist orders for violations of the securities laws; and...
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SEC/CFTC Jurisdictional Issues: Hearings Before the Subcommittee ..., Volumen4

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance - 1990 - 330 páginas
...Securities Act of 1933, 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. Both the Federal Trade Commission and the Department of Justice administer the antitrust laws. Three...
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Deposit Insurance Reform and Financial Modernization: Hearings ..., Volumen3

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs - 1990
...exclusions from the definitions of broker and dealer in the Exchange Act, and various provisions of the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Senator Wirth has introduced S. 2496, the "Bank Securities Registration and Administration Act of 1990,"...
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Penny Stock Market Fraud: Hearings Before the Subcommittee on ...

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance - 1989
...impose civil penalties in certain administrative procee'dings under the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940; and 4 5 - authorize the Commission to issue both temporary and permanent cease-and-desist orders for...
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Strengthening the Supervision and Regulation of the Depository Institutions ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs - 1991
...involvement with collective investment vehicles should be regulated under the securities laws, particularly the Investment Company Act of 1940 and the Investment Advisers Act of 1940. The bill would remove the exclusion from the Advisers Act for banks and bank holding companies that...
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The SEC/CFTC Jurisdiction and Margin: Joint Hearings Before the Subcommittee ...

United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs - 1991 - 647 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. Thus, the SEC has already demonstrated that it can regulate a broad spectrum of statutory schemes and...
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