Title 15 — Commerce and Trade
Chapter 2D. Investment Companies and Advisers
93 sections
Subchapter I — Investment Companies
- 80a–1Findings and declaration of policy
- 80a–2Definitions; applicability; rulemaking considerations
- 80a–3Definition of investment company
- 80a–3aProtection of philanthropy under State law
- 80a–4Classification of investment companies
- 80a–5Subclassification of management companies
- 80a–6Exemptions
- 80a–7Transactions by unregistered investment companies
- 80a–8Registration of investment companies
- 80a–9Ineligibility of certain affiliated persons and underwriters
- 80a–10Affiliations or interest of directors, officers, and employees
- 80a–11Offers to exchange securities
- 80a–12Functions and activities of investment companies
- 80a–13Changes in investment policy
- 80a–14Size of investment companies
- 80a–15Contracts of advisers and underwriters
- 80a–16Board of directors
- 80a–17Transactions of certain affiliated persons and underwriters
- 80a–18Capital structure of investment companies
- 80a–19Payments or distributions
- 80a–20Proxies; voting trusts; circular ownership
- 80a–21Loans by management companies
- 80a–22Distribution, redemption, and repurchase of securities; regulations by securities associations
- 80a–23Closed-end companies
- 80a–24Registration of securities under Securities Act of 1933
- 80a–25Reorganization plans; reports by Commission
- 80a–26Unit investment trusts
- 80a–27Periodic payment plans
- 80a–28Face-amount certificate companies
- 80a–29Reports and financial statements of investment companies and affiliated persons
- 80a–30Accounts and records
- 80a–31Accountants and auditors
- 80a–32Filing of documents with Commission in civil actions
- 80a–33Destruction and falsification of reports and records
- 80a–34Unlawful representations and names
- 80a–35Breach of fiduciary duty
- 80a–36Larceny and embezzlement
- 80a–37Rules, regulations, and orders
- 80a–38Procedure for issuance of rules and regulations
- 80a–39Procedure for issuance of orders
- 80a–40Hearings by Commission
- 80a–41Enforcement of subchapter
- 80a–42Court review of orders
- 80a–43Jurisdiction of offenses and suits
- 80a–44Disclosure of information filed with Commission; copies
- 80a–45Reports by Commission; hiring and leasing authority
- 80a–46Validity of contracts
- 80a–47Liability of controlling persons; preventing compliance with subchapter
- 80a–48Penalties
- 80a–49Construction with other laws
- 80a–50Separability
- 80a–51Short title
- 80a–52Effective date
- 80a–53Election to be regulated as business development company
- 80a–54Acquisition of assets by business development companies
- 80a–55Qualifications of directors
- 80a–56Transactions with certain affiliates
- 80a–57Changes in investment policy
- 80a–58Incorporation of subchapter provisions
- 80a–59Functions and activities of business development companies
- 80a–60Capital structure
- 80a–61Loans
- 80a–62Distribution and repurchase of securities
- 80a–63Accounts and records
- 80a–64Preventing compliance with subchapter; liability of controlling persons
Subchapter II — Investment Advisers
- 80b–1Findings
- 80b–2Definitions
- 80b–3Registration of investment advisers
- 80b–3aState and Federal responsibilities
- 80b–4Reports by investment advisers
- 80b–4aPrevention of misuse of nonpublic information
- 80b–5Investment advisory contracts
- 80b–6Prohibited transactions by investment advisers
- 80b–6aExemptions
- 80b–7Material misstatements
- 80b–8General prohibitions
- 80b–9Enforcement of subchapter
- 80b–10Disclosure of information by Commission
- 80b–10aConsultation
- 80b–11Rules, regulations, and orders of Commission
- 80b–12Hearings
- 80b–13Court review of orders
- 80b–14Jurisdiction of offenses and suits
- 80b–15Validity of contracts
- 80b–16Omitted
- 80b–17Penalties
- 80b–18Hiring and leasing authority of Commission
- 80b–18aState regulation of investment advisers
- 80b–18bCustody of client accounts
- 80b–18cRule of construction relating to the Commodities Exchange Act
- 80b–19Separability
- 80b–20Short title
- 80b–21Effective date