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2012 US Code
Title 15 - Commerce and Trade
Chapter 2D - INVESTMENT COMPANIES AND ADVISERS (§§ 80a-1 - 80b-21)
Table Of Contents
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| Publication Title | United States Code, 2012 Edition, 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 Table Of Contents |
| Date | 2012 |
| Laws in Effect as of Date | January 15, 2013 |
| Positive Law | No |
| Disposition | standard |
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SUBCHAPTER I—INVESTMENT COMPANIES
| Sec. | |
| 80a–1. | Findings and declaration of policy. |
| 80a–2. | Definitions; applicability; rulemaking considerations. |
| 80a–3. | Definition of investment company. |
| 80a–3a. | Protection of philanthropy under State law. |
| 80a–4. | Classification of investment companies. |
| 80a–5. | Subclassification of management companies. |
| 80a–6. | Exemptions. |
| 80a–7. | Transactions by unregistered investment companies. |
| 80a–8. | Registration of investment companies. |
| 80a–9. | Ineligibility of certain affiliated persons and underwriters. |
| 80a–10. | Affiliations or interest of directors, officers, and employees. |
| 80a–11. | Offers to exchange securities. |
| 80a–12. | Functions and activities of investment companies. |
| 80a–13. | Changes in investment policy. |
| 80a–14. | Size of investment companies. |
| 80a–15. | Contracts of advisers and underwriters. |
| 80a–16. | Board of directors. |
| 80a–17. | Transactions of certain affiliated persons and underwriters. |
| 80a–18. | Capital structure of investment companies. |
| 80a–19. | Payments or distributions. |
| 80a–20. | Proxies; voting trusts; circular ownership. |
| 80a–21. | Loans by management companies. |
| 80a–22. | Distribution, redemption, and repurchase of securities; regulations by securities associations. |
| 80a–23. | Closed-end companies. |
| 80a–24. | Registration of securities under Securities Act of 1933. |
| 80a–25. | Reorganization plans; reports by Commission. |
| 80a–26. | Unit investment trusts. |
| 80a–27. | Periodic payment plans. |
| 80a–28. | Face-amount certificate companies. |
| 80a–29. | Reports and financial statements of investment companies and affiliated persons. |
| 80a–30. | Accounts and records. |
| 80a–31. | Accountants and auditors. |
| 80a–32. | Filing of documents with Commission in civil actions. |
| 80a–33. | Destruction and falsification of reports and records. |
| 80a–34. | Unlawful representations and names. |
| 80a–35. | Breach of fiduciary duty. |
| 80a–36. | Larceny and embezzlement. |
| 80a–37. | Rules, regulations, and orders. |
| 80a–38. | Procedure 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. | Liability of controlling persons; preventing compliance with subchapter. |
| 80a–48. | Penalties. |
| 80a–49. | Construction with other laws. |
| 80a–50. | Separability. |
| 80a–51. | Short title. |
| 80a–52. | Effective date. |
| 80a–53. | Election to be regulated as business development company. |
| 80a–54. | Acquisition of assets by business development companies. |
| 80a–55. | Qualifications of directors. |
| 80a–56. | Transactions with certain affiliates. |
| 80a–57. | Changes in investment policy. |
| 80a–58. | Incorporation of subchapter provisions. |
| 80a–59. | Functions and activities of business development companies. |
| 80a–60. | Capital structure. |
| 80a–61. | Loans. |
| 80a–62. | Distribution and repurchase of securities. |
| 80a–63. | Accounts and records. |
| 80a–64. | Preventing compliance with subchapter; liability of controlling persons. |
SUBCHAPTER II—INVESTMENT ADVISERS
| 80b–1. | Findings. |
| 80b–2. | Definitions. |
| 80b–3. | Registration of investment advisers. |
| 80b–3a. | State and Federal responsibilities. |
| 80b–4. | Reports by investment advisers. |
| 80b–4a. | Prevention of misuse of nonpublic information. |
| 80b–5. | Investment advisory contracts. |
| 80b–6. | Prohibited transactions by investment advisers. |
| 80b–6a. | Exemptions. |
| 80b–7. | Material misstatements. |
| 80b–8. | General prohibitions. |
| 80b–9. | Enforcement of subchapter. |
| 80b–10. | Disclosure of information by Commission. |
| 80b–10a. | Consultation. |
| 80b–11. | Rules, regulations, and orders of Commission. |
| 80b–12. | Hearings. |
| 80b–13. | Court review of orders. |
| 80b–14. | Jurisdiction of offenses and suits. |
| 80b–15. | Validity of contracts. |
| 80b–16. | Omitted. |
| 80b–17. | Penalties. |
| 80b–18. | Hiring and leasing authority of Commission. |
| 80b–18a. | State regulation of investment advisers. |
| 80b–18b. | Custody of client accounts. |
| 80b–18c. | Rule of construction relating to the Commodities Exchange Act. |
| 80b–19. | Separability. |
| 80b–20. | Short title. |
| 80b–21. | Effective date. |
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