Act

Section, Pub. L. 106–554, §1(a)(5) [title IV, §407], Dec. 21, 2000, 114 Stat. 2763, 2763A–461, related to exclusion of covered swap agreements. Effective Date of ...

(a) Hybrid instruments No hybrid instrument shall be void, voidable, or unenforceable, and no party to a hybrid instrument shall be entitled to rescind, or ...

This is the SEC's liquidity risk management rule

Current report for open-end management investment companies

The IAA rule that requires firms to create a Form ADV brochure

You must file all amendments to Part 1A of Form ADV and Part 2A of Form ADV electronically with the IARD, unless you have received ...

This title shall become effective on November 1, 1940. Legislative History Aug. 22, 1940, ch 686, Title II, 221, 54 Stat. 857

This title may be cited as the "Investment Advisers Act of 1940". Legislative History Aug. 22, 1940, ch 686, Title II, 220, 54 Stat. 857

The Investment Advisers Act of 1940Section 212 -- Hearings Hearings may be public and may be held before the Commission, any member or members thereof, ...

The Investment Advisers Act of 1940Section 219 -- Separability of ProvisionsIf any provision of this title or the application of such provision to any person ...