CPO/CTA Rules & Regulatory Actions

The Investment Company Act of 1940 Section 59 -- Incorporation of Title Provisions Notwithstanding the exemption set forth in Section 6(f) [15 USCS § 80a-6(f)], ...
The Investment Company Act of 1940 Section 65 -- Preventing Compliance with Title; Liability of Controlling Persons Notwithstanding the exemption set forth in Section 6(f) ...
The Investment Company Act of 1940 Section 62 -- Loans Notwithstanding the exemption set forth in Section 6(f) [15 USCS § 80a-6(f)], Section 21 [15 ...
The Investment Company Act of 1940 Section 49 -- Penalties Any person who willfully violates any provision of this title or of any rule, regulation, ...
The Investment Company Act of 1940 Section 19 -- Payments or Distributions Dividends; restriction; exception. It shall be unlawful for any registered investment company to ...
The Investment Company Act of 1940 Section 40-- Procedure for Issuance of Orders Notice and hearing. Orders of the Commission under this title shall be ...
The Investment Company Act of 1940 Section 34 -- Destruction and Falsification of Reports and Records Willful destruction. It shall be unlawful for any person, ...
The Investment Company Act of 1940 Section 33 -- Filing of Documents with Commission in Civil Actions Every registered investment company which is a party ...
The Investment Company Act of 1940 Section 45 -- Disclosure of Information Filed with Commission; Copies The information contained in any registration statement, application, report, ...
The Investment Company Act of 1940 Section 47 -- Validity of Contracts Waiver of compliance as void. Any condition, stipulation, or provision binding any person ...
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