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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 .
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.
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 ...
The SEC Regulatory Accountability Act is a bill that was introduced into the United States House of Representatives in the 113th United States Congress.The bill would amend the Securities Exchange Act of 1934 to give new directions to the Securities and Exchange Commission (SEC) governing its regulation creation and amendment process.
A police dog has been injured in an incident that saw armed officers track a van suspected of carrying weapons. West Midlands Police said the van was spotted by officers on Saturday morning using ...
Securities and Exchange Commission (SEC) logo. The SEC filing is a financial statement or other formal document submitted to the U.S. Securities and Exchange Commission (SEC).
A California-based tire company has recalled over 540,000 replacement tires mistakenly labeled as snow traction products, according to an announcement from the National Highway Traffic Safety ...
The NFL playoffs are nearly in sight and the heat is on for some teams still in the fight to make the postseason.. Week 15 saw the number of teams that have qualified for the playoffs increase to ...