The Four Star Investor » ADVISERS

Bank of America to make advisers more accessible

Fri, 10 Sep 2010 18:38:57 +0000

Bank of America to make advisers more accessible
CHARLOTTE, N.C. – Bank of America is preparing to test some new changes in its branches, letting customers video conference with financial advisers and moving other advisers directly into the branches to make them more accessible.

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

Wed, 11 Aug 2010 18:50:50 +0000

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” of an investment company means (A) any person (other than a bona fide officer, director, trustee, member of an advisory board, or employee of such company, as such) who pursuant to contract with such company regularly furnishes advice to such company with respect to the desirability of investing in, purchasing or selling

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

Fri, 06 Aug 2010 18:42:24 +0000

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 I, Sec. 26, 54 Stat. 827; Pub. L. 91- 547, Sec. 15, Dec. 14, 1970, 84 Stat. 1424; Pub. L. 100-181, title VI, Secs. 618, 619, Dec. 4, 1987, 101 Stat. 1262; Pub. L. 104-290, title II, Sec. 205(a), Oct. 11, 1996, 110 Stat. 3429; Pub. L. 106- 102, title II, Sec. 211(b), Nov. 12, 1999, 113 Stat. 1396.) -MISC1- AMENDMENTS 1999 – Subsecs. (b) to (f). Pub. L. 106-102

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

Thu, 05 Aug 2010 18:43:00 +0000

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 under section 78d of this title. -MISC2- PROTECTION OF CHURCH EMPLOYEE BENEFIT PLANS UNDER STATE LAW Section 508(f) of Pub. L. 104-290 provided that: “(1) Registration requirements. – Any security issued by or any interest or participation in any church plan, company, or account that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company

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

Sun, 01 Aug 2010 18:43:29 +0000

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 struck out reference to Hawaii. 1959 – Subsec. (a)(37). Pub. L. 86-70 struck out reference to Alaska. 1954 – Subsec. (a)(30). Act Aug. 10, 1954, substituted “section 10(a) of the Securities Act of 1933″ for “section 5(b) of the Securities Act of 1933″. EFFECTIVE DATE OF 1999 AMENDMENT Amendment by Pub. L. 106-102 effective 18 months after Nov. 12, 1999, see section 225 of Pub. L. 106-102,

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

Tue, 27 Jul 2010 18:44:40 +0000

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 sold before 30 days after September 29, 2006. -SOURCE- (Aug. 22, 1940, ch. 686, title I, Sec. 27, 54 Stat. 829; Pub. L. 91- 547, Sec. 16, Dec. 14, 1970, 84 Stat. 1424; Pub. L. 92-165, Nov. 23, 1971, 85 Stat. 487; Pub. L. 104-290, title II, Sec. 205(b), Oct. 11, 1996, 110 Stat. 3429; Pub. L. 109-290,

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

Fri, 23 Jul 2010 18:43:22 +0000

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 which issue redeemable securities this process of distribution and redemption is continuous; (2) the principal activities of such companies – investing, reinvesting, and trading in securities – are conducted by use of the mails and means and instrumentalities of interstate commerce, including the facilities

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

Thu, 22 Jul 2010 18:42:22 +0000

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 company maintains its principal place of business, is authorized to enjoin the consummation of any plan of reorganization of such registered investment company upon proceedings instituted by the Commission (which is authorized so to proceed upon behalf of security holders of such registered company, or any class thereof), if such court shall determine

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

Sun, 18 Jul 2010 18:39:08 +0000

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 sales load on such certificate exceeds 9 per centum of the total payments to be made thereon; (2) more than 20 per centum of any payment thereon is deducted for sales load, or an average of more than 16 per centum is deducted for sales load from the first forty-eight monthly payments thereon, or their equivalent; (3) the amount

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

Thu, 15 Jul 2010 18:43:24 +0000

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 holding company affiliates granted a general voting permit by the Board of Governors of the Federal Reserve System before 1940 and any such affiliates with a later voting permit concerning which determinations were made of being primarily engaged, directly or indirectly, in the business of holding the