The Investment Company Act of 1940 Section 6 -- Exemptions Exemption of specified investment companies. The following investment companies are exempt from the provisions of ...
The Investment Company Act of 1940 Section 17 -- Transactions of Certain Affiliated Persons and Underwriters Prohibited transactions. It shall be unlawful for any affiliated ...
The Investment Company Act of 1940 Section 57 -- Transactions with Certain Affiliates Transactions involving controlling or closely affiliated persons. It shall be unlawful for ...
The Investment Company Act of 1940 Section 3 -- Definition of Investment Company Definitions. When used in this title, "investment company" means any issuer which-- ...
The Investment Company Act of 1940 Section 28 -- Face-Amount Certificate Companies Issuance or sale of certificates. It shall be unlawful for any registered face-amount ...
The Investment Company Act of 1940Section 2 -- Definitions Definitions. When used in this title, unless the context otherwise requires-- "Advisory board" means a board, ...
Securities Act of 1933 Section 14 -- Contrary Stipulations Void Any condition, stipulation, or provision binding any person acquiring any security to waive compliance with ...
Securities Act of 1933 Section 21 -- Hearings by Commission All hearings shall be public and may be held before the Commission or an officer ...
Securities Act of 1933 Section 25 -- Jurisdiction of Other Government Agencies over Securities Nothing in this title shall relieve any person from submitting to ...
Securities Act of 1933 Section 26 -- Separability of Provisions If any provision of this Act, or the application of such provision to any person ...