Investment Company Act of 1940 - Contents

Contents

  • Sec. 1. Findings and Declaration of Policy.
  • Sec. 2. General Definitions.
  • Sec. 3. Definition of Investment Company.
  • Sec. 4. Classification of Investment Companies.
  • Sec. 5. Subclassification of Management Companies.
  • Sec. 6. Exemptions.
  • Sec. 7. Transactions by Unregistered Investment Companies.
  • Sec. 8. Registration of Investment Companies.
  • Sec. 9. Ineligibility of Certain Affiliated Persons and Underwriters.
  • Sec. 10. Affiliations of Directors.
  • Sec. 11. Offers of Exchange.
  • Sec. 12. Functions and Activities of Investment Companies.
  • Sec. 13. Changes in Investment Policy.
  • Sec. 14. Size of Investment Companies.
  • Sec. 15. Investment Advisory and Underwriting Contracts.
  • Sec. 16. Changes in Board of Directors; Provisions Relative to Strict Trusts.
  • Sec. 17. Transactions of Certain Affiliated Persons and Underwriters.
  • Sec. 18. Capital Structure.
  • Sec. 19. Dividends.
  • Sec. 20. Proxies; Voting Trusts; Circular Ownership.
  • Sec. 21. Loans.
  • Sec. 22. Distribution, Redemption, and Repurchase of Redeemable Securities.
  • Sec. 23. Distribution and Repurchase of Securities: Closed-End Companies.
  • Sec. 24. Registration of Securities Under Securities Act of 1933.
  • Sec. 25. Plans of Reorganization.
  • Sec. 26. Unit Investment Trusts.
  • Sec. 27. Periodic Payment Plans.
  • Sec. 28. Face-Amount Certificate Companies.
  • Sec. 29. Bankruptcy of Face-Amount Certificate Companies.
  • Sec. 30. Periodic and Other Reports; Reports of Affiliated Persons.
  • Sec. 31. Accounts and Records.
  • Sec. 32. Accountants and Auditors.
  • Sec. 33. Filing of Documents With Commission in Civil Actions.
  • Sec. 34. Destruction and Falsification of Reports and Records.
  • Sec. 35. Unlawful Representations and Names.
  • Sec. 36. Breach of Fiduciary Duty.
  • Sec. 37. Larceny and Embezzlement.
  • Sec. 38. Rules, Regulations, and Orders; General Powers of Commission.
  • Sec. 39. Rules and Regulations; Procedure for Issuance.
  • Sec. 40. Orders; Procedure for Issuance.
  • Sec. 41. Hearings by Commission.
  • Sec. 42. Enforcement of Title.
  • Sec. 43. Court Review of Orders.
  • Sec. 44. Jurisdiction of Offenses and Suits.
  • Sec. 45. Information Filed With Commission.
  • Sec. 46. Annual Reports of Commission; Employees of the Commission.
  • Sec. 47. Validity of Contracts.
  • Sec. 48. Liability of Controlling Persons; Preventing Compliance With Title.
  • Sec. 49. Penalties.
  • Sec. 50. Effect on Existing Law.
  • Sec. 51. Separability of Provisions.
  • Sec. 52. Short Title.
  • Sec. 53. Effective Date.
  • Sec. 54. Election to Be Regulated As A Business Development Company.
  • Sec. 55. Functions and Activities of Business Development Companies.
  • Sec. 56. Qualifications of Directors.
  • Sec. 57. Transactions With Certain Affiliates.
  • Sec. 58. Changes in Investment Policy.
  • Sec. 59. Incorporation of Provisions.
  • Sec. 60. Functions and Activities of Business Development Companies.
  • Sec. 61. Capital Structure.
  • Sec. 62. Loans.
  • Sec. 64. Accounts and Records.
  • Sec. 65. Liability of Controlling Persons; Preventing Compliance With Title.

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