2011 US Code
Title 15 - Commerce and Trade
Chapter 2D - INVESTMENT COMPANIES AND ADVISERS (§§ 80a-1 - 80b-21)
Subchapter I - INVESTMENT COMPANIES (§§ 80a-1 - 80a-64)
Section 80a-33 - Destruction and falsification of reports and records
View MetadataPublication Title | United States Code, 2006 Edition, Supplement 5, Title 15 - COMMERCE AND TRADE |
Category | Bills and Statutes |
Collection | United States Code |
SuDoc Class Number | Y 1.2/5: |
Contained Within | Title 15 - COMMERCE AND TRADE CHAPTER 2D - INVESTMENT COMPANIES AND ADVISERS SUBCHAPTER I - INVESTMENT COMPANIES Sec. 80a-33 - Destruction and falsification of reports and records |
Contains | section 80a-33 |
Date | 2011 |
Laws in Effect as of Date | January 3, 2012 |
Positive Law | No |
Disposition | standard |
Source Credit | Aug. 22, 1940, ch. 686, title I, §34, 54 Stat. 840. |
Statutes at Large References | 54 Stat. 840 64 Stat. 1265 |
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It shall be unlawful for any person, except as permitted by rule, regulation, or order of the Commission, willfully to destroy, mutilate, or alter any account, book, or other document the preservation of which has been required pursuant to section 80a–30(a) or 80a–31(c) of this title.
(b) Untrue statements or omissionsIt shall be unlawful for any person to make any untrue statement of a material fact in any registration statement, application, report, account, record, or other document filed or transmitted pursuant to this subchapter or the keeping of which is required pursuant to section 80a–30 (a) of this title. It shall be unlawful for any person so filing, transmitting, or keeping any such document to omit to state therein any fact necessary in order to prevent the statements made therein, in the light of the circumstances under which they were made, from being materially misleading. For the purposes of this subsection, any part of any such document which is signed or certified by an accountant or auditor in his capacity as such shall be deemed to be made, filed, transmitted, or kept by such accountant or auditor, as well as by the person filing, transmitting, or keeping the complete document.
(Aug. 22, 1940, ch. 686, title I, §34, 54 Stat. 840.)
Transfer of FunctionsFor transfer of functions of Securities and Exchange Commission, with certain exceptions, to Chairman of such Commission, see Reorg. Plan No. 10 of 1950, §§1, 2, eff. May 24, 1950, 15 F.R. 3175, 64 Stat. 1265, set out under section 78d of this title.
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