| Administrative law - 1939 - 1522 pages
...Act of 1934. [Note] PART 210— FORM AND CONTENT OF FINANCIAL STATEMENTS, SECURITIES ACT OF 1933 AND ubsection * the earlier. • * • APPLICATION OF THIS PART Bee. 210.1-01 Application of this part. [Amended] § 210.1-01 Application... | |
| United States. Congress. Senate. Appropriations Committee - 1949 - 1486 pages
...the over-theCounter markets, and is generally responsible for the Commission's enforcement Retivities under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Advisors Act of 1940. A reduction in the staff of this Division would further limit the scope of the... | |
| Administrative law - 1970 - 670 pages
...include the responsibility to the Commission for the administration and enforcement of matters arising under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Advisers Act of 1940, as specified below: (a) Investigations of violations or suspected violations... | |
| Administrative law - 1986 - 1004 pages
...filings under the Investment Company Act of 1940 and certain filings relating to investment companies under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Trust Indenture Act of 1939, which are routed to the Division of Investment Management, and filings... | |
| Administrative law - 1998 - 784 pages
...filings under the Investment Company Act of 1940 and certain filings relating: to investment companies 4 V 4 the Trust Indenture Act of 1939, which are routed to the Division of Invest-ment Management, and filings... | |
| Administrative law - 1992 - 694 pages
...funds or accounts, and the general assets or separate accounts of insurance companies, all arising under the Securities Act of 1933, the Securities Exchange Act of 1934 and the Trust Indenture Act of 1939, the same functions as are delegated to the Director of the Division... | |
| Administrative law - 2001 - 642 pages
...the filings made §1.15 §1.16 by the Material Affiliated Person pursuant to sections 13 or 15 of the Securities Exchange Act of 1934 and the Investment Company Act of 1940. (4) No futures commission merchant shall be required to furnish to the Commission any examination report... | |
| Administrative law - 1997 - 608 pages
...§1.14, copies of the filings made by the Material Affiliated Person pursuant to sections 13 or 15 of the Securities Exchange Act of 1934 and the Investment Company Act of 1940. (4) No futures commission merchant shall be required to furnish to the Com-mission any examination... | |
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