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), [...]

EXCHANGES #65 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov business objectives and policies of a portfolio company; (B) the exercise by a business development company of a controlling influence over the management or policies of a portfolio company by the business development company acting individually or as part of a group acting together which controls such portfolio company; or (C) with respect to [...]

EXCHANGES #72 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov acting for its own account or the accounts of other qualified purchasers, who in the aggregate owns and invests on a discretionary basis, not less than $25000000 in investments. (B) The Commission may adopt such rules and regulations applicable to the persons and trusts specified in clauses (i) through (iv) of subparagraph (A) as [...]

EXCHANGES #54 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov the securities in respect of which any person is an underwriter is completed such person shall cease to be an underwriter in respect of such securities or the issuer thereof. (41) “Value”, with respect to assets of registered investment companies, except as provided in subsection (b) of section 80a-28 of this title, means – [...]

EXCHANGES #469 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov (6) if such registered company is a unit investment trust the assets of which are securities issued by a management company, the depositor of or principal underwriter for such trust, or any affiliated person of such depositor or underwriter, is to receive from such management company or any affiliated person thereof any fee or [...]

EXCHANGES #527 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov pursuant to paragraph (2) of this subsection may be incorporated by reference in any report subsequently or concurrently filed pursuant to paragraph (1) of this subsection. (c) Minimizing reporting burdens (1) The Commission shall take such action as it deems necessary or appropriate, consistent with the public interest and the protection of investors, to [...]

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