EXCHANGES #471 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov It shall be unlawful for any registered investment company issuing periodic payment plan certificates, or for any depositor of or underwriter for such company, to sell any such certificate, unless – (1) such certificate is a redeemable security; and (2) the proceeds of all payments on such certificate (except such amounts as are deducted [...]

EXCHANGES #62 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov an investment company as defined in section 80a-3 of this title (other than a small business investment company which is licensed by the Small Business Administration to operate under the Small Business Investment Act of 1958 [15 USC 661 et seq.] and which is a wholly-owned subsidiary of the business development company) nor a [...]

EXCHANGES #119 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov 84 Stat. 1414; Pub. L. 94-210, title III, Sec. 308(c), Feb. 5, 1976, 90 Stat. 57; Pub. L. 96-477, title I, Sec. 102, title VII, Sec. 703, Oct. 21, 1980, 94 Stat. 2276, 2295; Pub. L. 100-181, title VI, Secs. 604-606, Dec. 4, 1987, 101 Stat. 1260; Pub. L. 104-62, Sec. 2(a),…

EXCHANGES #90 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.govEFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-547 effective Dec. 14, 1970, see section 30 of Pub. L. 91-547, set out as a note under section 80a-52 of this title. EFFECTIVE DATE OF 1954 AMENDMENT Amendment by act Aug. 10, 1954, effective 60 days after Aug. 10, 1954, see note set out under [...]

EXCHANGES #34 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov of whether that person or affiliated person is an interested person, has executed any portfolio transactions for, engaged in any principal transactions with, or distributed shares for – (I) any investment company for which the investment adviser or principal underwriter serves as such; (II) any investment company holding itself out to investors, for purposes [...]

EXCHANGES #79 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov (Sec. 79 et seq.) of this title, prior to repeal by Pub. L. 109-58, title XII, Sec. 1263, Aug. 8, 2005, 119 Stat. 974. For complete classification of this Act to the Code, see Tables. The Trust Indenture Act of 1939, referred to in subsec. (a)(44), is title III of act May 27, 1933, [...]

EXCHANGES #6 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov advisory contracts. 80b-6. Prohibited transactions by investment advisers. 80b-6a. Exemptions. 80b-7. Material misstatements. 80b-8. General prohibitions. 80b-9. Enforcement of subchapter. 80b-10. Disclosure of information by Commission. 80b-10a. Consultation. 80b-11. Rules, regulations, and orders of Commission. 80b-12. Hearings. 80b-13. Court review of orders. 80b-14. Jurisdiction of offenses and suits. 80b-15. Validity of contracts. 80b-16. Omitted. [...]

EXCHANGES #485 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.govsee section 30(3) of Pub. L. 91-547, set out as a note under section 80a-52 of this title. -TRANS- TRANSFER OF FUNCTIONS For transfer of functions of Securities and Exchange Commission, with certain exceptions, to Chairman of such Commission, see Reorg. Plan No. 10 of 1950, Secs. 1, 2, eff. May 24, 1950, 15 FR [...]

EXCHANGES #466 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov 18 months after Nov. 12, 1999,see section 225 of Pub. L. 106-102, set out as a note under section 77c of this title. EFFECTIVE DATE OF 1970 AMENDMENT Amendment by Pub. L. 91-547 effective Dec. 14, 1970, see section 30 of Pub. L. 91-547, set out as a note under section 80a-52 of this [...]

EXCHANGES #470 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov it is necessary or appropriate in the public interest and consistent with the protection of investors that a provision or provisions of paragraph (1), (2), or (3) of subsection (a) of this section relative to sales load be relaxed in the case of certain registered investment companies issuing periodic payment plan certificates, or certain [...]

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