...by the Commission of civil penalties in certain administrative proceedings under the Exchange Act, the Investment Company Act of 1940 and the Investment Advisers Act of 1940. The sanctioning authority proposed in the Securities Law Enforcement Remedies Act would enable the...

...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 confoming amendments, to authorize appropriations to the...

...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 advance the goal of functional regulation by removing the exclusion from the Advisers...

...C. Investment Companies and Investment Adviien HR 797 would apply the securities laws, particularly the Investment Company Act of 1940 and the Investment Advisers Act of 1940, to banks' involvement with collective investment vehicles. The bill would remove the Advisers Act exclusion...

...helpful to begin with a brief summary of current disclosure requirements and industry practices. Both the Investment Company Act of 1940 and the Investment Advisers Act of 1940 require disclosure to investors regarding brokerage placement policies and practices. Under these Acts,...

...enforces several statutes, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940. 6 As a result, CFTC does not have as wide a range of enforcement 5 The SROs include the futures exchanges...

...enforces several statutes, including the Securities Act of 1933, the Securities Exchange Act of 1934, the Investment Company Act of 1940, and the Investment Advisers Act of 1940.6 As a result, CFTC does not have as wide a range of enforcement 5 The SROs include the futures...

...without limitation, as it applies to investment companies and investment advisers, registered under the Investment Company Act of 1940 and the Investment Advisers Act of 1940, respectively. ABASA wholeheartedly endorses the bill's preemption of state regulation as it applies...

...Act including consultation with the Board. Subtitle В - Bank Investment Company Activities. Amends the Investment Company Act of 1940 and the Investment Advisers Act of 1 940 to provide for functional regulation of bank activities relating to investment companies. Subtitle...

...of 1933 (1933 Act), the Utility Holding Company Act of 193S (PUHCA), the Trust Indenture Act of Г Investment Company Act of 1940, and the Investment Advisers Act of 1940. By Chapter 1 1 of the Bankruptcy Code, the Commission also participates in the federal in certain corporate...