The Investment Advisers Act of 1940Section 210 -- Disclosure of Information by Commission Information available to public. The information contained in any registration application or ...
This title shall become effective on November 1, 1940. Legislative History Aug. 22, 1940, ch 686, Title II, 221, 54 Stat. 857
No investment adviser that is regulated or required to be regulated as an investment adviser in the State in which it maintains its principal office ...
The Investment Advisers Act of 1940Section 203 -- Registration of Investment AdvisersNecessity of registration. Except as provided in subsection (b) and Section 203A, it shall ...
The Investment Advisers Act of 1940Section 202 -- DefinitionsWhen used in this title, unless the context otherwise requires, the following definitions shall apply:"Assignment" includes any ...
The Investment Advisers Act of 1940Section 209 -- Enforcement of Title Investigation. Whenever it shall appear to the Commission, either upon complaint or otherwise, that ...
The Investment Advisers Act of 1940Section 205 -- Investment Advisory ContractsCompensation, assignment, and partnership-membership provisions. No investment adviser, unless exempt from registration pursuant to Section ...
This Investment Company Act section gives mutual funds the right to create different classes
Investment Company Act of 1940 – Section 31(a) and Rule 31a-2 Application of Rule 38a-1 to a Closed-End Investment Company’s Principal Underwriters November 10, 2004 ...