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  2. Investment Company Act of 1940 - Wikipedia

    en.wikipedia.org/wiki/Investment_Company_Act_of_1940

    The Investment Company Act of 1940 (commonly referred to as the '40 Act) is an act of Congress which regulates investment funds. It was passed as a United States Public Law ( Pub. L. 76–768 ) on August 22, 1940, and is codified at 15 U.S.C. §§ 80a-1 – 80a-64 .

  3. Investment Advisers Act of 1940 - Wikipedia

    en.wikipedia.org/.../Investment_Advisers_Act_of_1940

    The Investment Advisers Act of 1940, codified at 15 U.S.C. § 80b-1 through 15 U.S.C. § 80b-21, is a United States federal law that was created to monitor and regulate the activities of investment advisers (also spelled "advisors") as defined by the law.

  4. List of United States federal legislation - Wikipedia

    en.wikipedia.org/wiki/List_of_United_States...

    The National Banking Act of February 25, 1863, Sess. 3, ch. 58, was the 58th Act of the third session of the 37th Congress. The Global Anti-Semitism Review Act of 2004 of October 16, 2004, Pub. L. 108–332 (text) (PDF) , 118 Stat. 1282 , was the 332nd Act of Congress (statute) passed in the 108th Congress.

  5. United States securities regulation - Wikipedia

    en.wikipedia.org/wiki/United_States_Securities...

    The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...

  6. U.S. Securities and Exchange Commission - Wikipedia

    en.wikipedia.org/wiki/U.S._Securities_and...

    Created by Section 4 of the Securities Exchange Act of 1934 (now codified as 15 U.S.C. § 78d and commonly referred to as the Exchange Act or the 1934 Act), SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, among ...

  7. What is impoundment? How Trump thinks he can control spending ...

    www.aol.com/impoundment-trump-thinks-control...

    The Impoundment Control Act of 1974, in Trump’s telling, is “not a very good act; this disaster of a law is clearly unconstitutional, a blatant violation of the separation of powers.”

  8. SEC filing - Wikipedia

    en.wikipedia.org/wiki/SEC_filing

    Filing by certain investment companies of Securities Act Rule 482 advertising in accordance with Securities Act Rule 497 497H2 Filings made pursuant to Rule 497(h)(2) 497J Certification of no change in definitive materials 497K1 Profiles for certain open-end management investment companies 497K2

  9. 2023 Securities and Exchange Commission charges against the ...

    en.wikipedia.org/wiki/2023_Securities_and...

    On February 21, 2023, the United States Securities and Exchange Commission (SEC) charged the Church of Jesus Christ of Latter-day Saints (LDS Church) and its non-profit investment arm, Ensign Peak Advisors (EP), for failing to disclose the LDS Church's investments, and instead creating shell companies whose purpose was to obscure the church's portfolio.