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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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Short-selling Activity in the Stock Market: The Effects on Small ..., Volumen4

United States. Congress. House. Committee on Government Operations. Commerce, Consumer, and Monetary Affairs Subcommittee - 1991 - 852 páginas
...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...
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Preliminary Inquiry Into Allegations Regarding Senators Cranston, DeConcini ...

United States. Congress. Senate. Select Committee on Ethics - 1991
...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...
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Restructuring of the Banking Industry: Hearings Before the ..., Parte2

United States. Congress. House. Committee on Banking, Finance, and Urban Affairs. Subcommittee on Financial Institutions Supervision, Regulation and Insurance - 1991 - 441 páginas
...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...
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Financial Services Restructuring: Hearings Before the Subcommittee ..., Volumen4

United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance - 1992 - 753 páginas
...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...
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National Market System: Hearings Before the Subcommittee on ..., Volumen4

United States, United States. Congress. House. Committee on Energy and Commerce. Subcommittee on Telecommunications and Finance - 1994 - 826 páginas
...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,...
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H.R. 718, Markets and Trading Reorganization and Reform Act of 1995 ..., Parte2

United States. Congress. House. Committee on Banking and Financial Services. Subcommittee on Capital Markets, Securities, and Government Sponsored Enterprises - 1995
...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...
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H.R. 718, Markets and Trading Reorganization and Reform Act of 1995 ..., Parte2

United States. Congress. House. Committee on Banking and Financial Services. Subcommittee on Capital Markets, Securities, and Government Sponsored Enterprises - 1995
...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...
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Capital Markets Deregulation and Liberalization Act of 1995 ..., Volumen4

United States, United States. Congress. House. Committee on Commerce. Subcommittee on Telecommunications and Finance - 1996 - 334 páginas
...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...
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Legislative Calendar, Volumen106

United States. Congress. House. Committee on Banking and Financial Services - 2000
...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...
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Departments of Commerce, Justice, and State, the Judiciary, and Related ...

United States. Congress. House. Committee on Appropriations. Subcommittee on the Departments of Commerce, Justice, and State, the Judiciary, and Related Agencies - 1996
...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...
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