...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...

...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....

...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...

...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...

...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...

...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...

...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,"...

...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...

...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...

...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...