EXCHANGES #529 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov exchange concerned, of copies of periodic reports, or of extracts therefrom, filed by any registered investment company pursuant to subsections (a) and (b) of this section, in lieu of any reports and documents required of such company under section 13 or 15(d) of the Securities Exchange Act of 1934 [15 USC 78m or 78o(d)]. [...]

EXCHANGES #482 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov to the sponsoring insurance company and principal underwriter of such account, except as provided in paragraph (2). (2) It shall be unlawful for any registered separate account funding variable insurance contracts, or for the sponsoring insurance company of such account, to sell any such contract unless – (A) such contract is a redeemable security; [...]

EXCHANGES #535 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov securities (other than short-term paper) of which a registered closed-end company is the issuer or who is an officer, director, member of an advisory board, investment adviser, or affiliated person of an investment adviser of such a company shall in respect of his transactions in any securities of such company (other than short- term [...]

EXCHANGES #129 15 USC CHAPTER 2D – INVESTMENT COMPANIES AND ADVISERS

uscode.house.gov and added subpar. (B). Subsec. (c)(11). Pub. L. 96-477, Sec. 703, excluded from consideration as an investment company for purposes of this subchapter any employee’s stock bonus, pension, or profit-sharing trust which holds only assets of governmental plans described in section 77c(a)(2)(C) of this title, redesignated former cl. (B) as (C), and added cl. [...]

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) [...]

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. [...]

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