EXCHANGES #37 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov (A) or (B) of this paragraph shall become effective until at least sixty days after the entry thereof, and no such order shall affect the status of any person for the purposes of this subchapter or for any other purpose for any period prior to the effective date of such order. (20) “Investment adviser” [...]

EXCHANGES #464 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov shall include all fees and charges imposed for any purpose and in any manner. (4) Regulatory authority The Commission may issue such rules and regulations to carry out paragraph (2)(A) as it determines are necessary or appropriate in the public interest or for the protection of investors. -SOURCE- (Aug. 22, 1940, ch. 686, title [...]

EXCHANGES #143 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov Act of 1940 [15 USC 80a-3(c)(7)(B)], as amended by this Act.” -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 3175, 64 Stat. 1265, set out [...]

EXCHANGES #88 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov to (36), respectively. Subsec. (a)(37). Pub. L. 91-547, Sec. 2(a)(4), added par. (37). Former par. (37) redesignated (39). Subsecs. (a)(38) to (44). Pub. L. 91-547, Sec. 2(a)(2), redesignated former pars. (36) to (42) as (38) to (44). Subsec. (a)(45). Pub. L. 91-547, Sec. 2(a)(5), added par. (45). 1960 – Subsec. (a)(37). Pub. L. 86-624 [...]

EXCHANGES #483 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov company, or any depositor of or underwriter for any such company, or any other person, to sell such a certificate. (2) No invalidation of existing certificates Paragraph (1) shall not be construed to alter, invalidate, or otherwise affect any rights or obligations, including rights of redemption, under any periodic payment plan certificate issued and [...]

EXCHANGES #8 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov interest in that, among other things – (1) the securities issued by such companies, which constitute a substantial part of all securities publicly offered, are distributed, purchased, paid for, exchanged, transferred, redeemed, and repurchased by use of the mails and means and instrumentalities of interstate commerce, and in the case of the numerous companies [...]

EXCHANGES #448 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov pending in any court of competent jurisdiction unless such plan is submitted to the Commission for that purpose by such court. (c) Enjoinder of plan of reorganization Any district court of the United States in the State of incorporation of a registered investment company, or any such court for the district in which such [...]

EXCHANGES #478 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov of this section. (h) Sale of certificates; restrictions Upon making the election specified in subsection (g) of this section, it shall be unlawful for any such electing registered investment company issuing periodic payment plan certificates, or for any depositor of or underwriter for such company, to sell any such certificate, if – (1) the [...]

EXCHANGES #133 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov account the assets of which are derived from certain sources. Former par. (11) redesignated (9). Subsecs. (c)(12) to (15). Pub. L. 91-547, Sec. 3(b)(2), redesignated pars. (14) and (15) as (12) and (13), respectively. Former pars. (12) and (13) redesignated (10) and (11). 1966 – Subsec. (c)(4). Pub. L. 89-485 repealed provisions which exempt [...]

EXCHANGES #127 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov consist substantially of securities issued by companies which are subject to regulation under section 314 of title 49.” Subsec. (c)(11). Pub. L. 100-181, Sec. 606(1), substituted “Internal Revenue Code of 1986″ for “Internal Revenue Code of 1954″ wherever appearing, which for purposes of codification was translated as “title 26″ thus requiring no change in [...]

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