EXCHANGES #32 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov of its board of directors or advisory board or an owner of its securities, or (bb) his membership in the immediate family of any person specified in clause (aa) of this proviso; and (B) when used with respect to an investment adviser of or principal underwriter for any investment company – (i) any affiliated [...]

EXCHANGES #537 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov not be afforded the protections of those provisions. (j) Notice to Commission The Commission may issue rules and regulations to require any person that maintains a church plan that is excluded from the definition of an investment company solely by reason of section 80a- 3(c)(14) of this title to file a notice with the [...]

EXCHANGES #122 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov as par. (2). Subsec. (a)(2)(C). Pub. L. 104-290, Sec. 209(c)(6), substituted “which (i) are” for “which are” and added cl. (ii). Subsec. (c)(1). Pub. L. 104-290, Sec. 209(a)(1), inserted after first sentence “Such issuer shall be deemed to be an investment company for purposes of the limitations set forth in subparagraphs (A)(i) and (B)(i) [...]

Investment Advice : About Investment Planners & Financial Advisers

Investment planners and financial adviser do the same basic job of advising on investments, securities, retirement preparation and how to save money. Find a financial adviser that understands your financial goals with help from a financial consultant in this free video on investments. Expert: John Pinelli Bio: John Pinelli is a financial service broker for [...]

EXCHANGES #77 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov L. 101-550, title II, Sec. 206(a), Nov. 15, 1990, 104 Stat. 2720; Pub. L. 104-290, title I, Sec. 106(c), title II, Sec. 209(b), title V, Secs. 503, 504, Oct. 11, 1996, 110 Stat. 3425, 3434, 3445; Pub. L. 105-353, title III, Sec. 301(c)(1), Nov. 3, 1998, 112 Stat. 3236; Pub. L. 106-102, title II, [...]

EXCHANGES #87 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov option, or privilege entered into on a national securities exchange relating to foreign currency,” after “mineral rights,”. 1980 – Subsec. (a)(46) to (48). Pub. L. 96-477 added pars. (46) to (48). 1978 – Subsec. (a)(8). Pub. L. 95-598 substituted “a case under title 11″ for “bankruptcy”. 1970 – Subsec. (a)(5). Pub. L. 91-547, Sec. [...]

EXCHANGES #131 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov Former par. (5) redesignated (4). Subsec. (c)(6). Pub. L. 91-547, Sec. 3(b)(2), redesignated par. (7) as (6), inserted reference to par. (4), and struck out reference to par. (6). Former par. (6) redesignated (5). Subsec. (c)(7). Pub. L. 91-547, Sec. 3(b)(2), redesignated par. (9) as (7). Former par. (7) redesignated (6). Subsec. (c)(8). Pub. [...]

EXCHANGES #4 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov for issuance of rules and regulations. 80a-39. Procedure for issuance of orders. 80a-40. Hearings by Commission. 80a-41. Enforcement of subchapter. 80a-42. Court review of orders. 80a-43. Jurisdiction of offenses and suits. 80a-44. Disclosure of information filed with Commission; copies. 80a-45. Reports by Commission; hiring and leasing authority. 80a-46. Validity of contracts. 80a-47. Violation of [...]

EXCHANGES #49 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov load” includes the sales load on any investment company securities in which the payments made on such certificate are invested, as well as the sales load on the certificate itself. (36) “Security” means any note, stock, treasury stock, security future, bond, debenture, evidence of indebtedness, certificate of interest or participation in any profit-sharing agreement, [...]

EXCHANGES #76 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov investors, whether the action will promote efficiency, competition, and capital formation. -SOURCE- (Aug. 22, 1940, ch. 686, title I, Sec. 2, 54 Stat. 790; Proc. No. 2695, eff. July 4, 1946, 11 FR 7517, 60 Stat. 1352; Aug. 10, 1954, ch. 667, title IV, Sec. 401, 68 Stat. 688; Pub. L. 86-70, Sec. 12(d), [...]

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