Federal (United States) · Statute compilation
Act of Aug. 22, 1940, ch. 686 — INVESTMENT COMPANY ACT OF 1940
65 sections
65 sections
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 1 (as amended)findings and declaration of policy
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 2 (as amended)general definitions
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 3 (as amended)definition of investment company3
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 4 (as amended)classification of investment companies
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 5 (as amended)subclassification of management companies
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 6 (as amended)exemptions8
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 7 (as amended)transactions by unregistered investment companies
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 8 (as amended)registration of investment companies
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 9 (as amended)ineligibility of certain affiliated persons and underwriters
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 10 (as amended)affiliations of directors
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 11 (as amended)offers of exchange
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 12 (as amended)functions and activities of investment companies
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 13 (as amended)changes in investment policy
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 14 (as amended)size of investment companies
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 15 (as amended)investment advisory and underwriting contracts
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 16 (as amended)changes in board of directors; provisions relative to strict trusts
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 17 (as amended)transactions of certain affiliated persons and underwriters
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 18 (as amended)capital structure
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 19 (as amended)dividends
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 20 (as amended)proxies; voting trusts; circular ownership
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 21 (as amended)loans
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 22 (as amended)distribution, redemption, and repurchase of redeemable securities
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 23 (as amended)distribution and repurchase of securities: closed-end companies
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 24 (as amended)registration of securities under securities act of 1933
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 25 (as amended)plans of reorganization
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 26 (as amended)unit investment trusts
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 27 (as amended)periodic payment plans
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 28 (as amended)face-amount certificate companies
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 29 (as amended)bankruptcy of face-amount certificate companies
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 30 (as amended)periodic and other reports; reports of affiliated persons
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 31 (as amended)accounts and records
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 32 (as amended)accountants and auditors
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 33 (as amended)filing of documents with commission in civil actions
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 34 (as amended)destruction and falsification of reports and records
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 35 (as amended)unlawful representations and names
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 36 (as amended)breach of fiduciary duty
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 37 (as amended)larceny and embezzlement
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 38 (as amended)rules, regulations, and orders; general powers of commission
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 39 (as amended)rules and regulations; procedure for issuance
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 40 (as amended)orders; procedure for issuance
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 41 (as amended)hearings by commission
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 42 (as amended)enforcement of title
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 43 (as amended)court review of orders
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 44 (as amended)jurisdiction of offenses and suits
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 45 (as amended)information filed with commission
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 46 (as amended)annual reports of commission; employees of the commission
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 47 (as amended)validity of contracts
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 48 (as amended)liability of controlling persons; preventing compliance with title
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 49 (as amended)penalties
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 50 (as amended)effect on existing law
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 51 (as amended)separability of provisions
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 52 (as amended)short title
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 53 (as amended)effective date
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 54 (as amended)election to be regulated as a business development company
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 55 (as amended)functions and activities of business development companies
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 56 (as amended)qualifications of directors
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 57 (as amended)transactions with certain affiliates
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 58 (as amended)changes in investment policy
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 59 (as amended)incorporation of provisions
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 60 (as amended)functions and activities of business development companies
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 61 (as amended)capital structure
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 62 (as amended)loans
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 63 (as amended)distribution and repurchase of securities
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 64 (as amended)accounts and records
- Act of Aug. 22, 1940, ch. 686, tit. I, sec. 65 (as amended)liability of controlling persons; preventing compliance with title