Act

The Investment Advisers Act of 1940Section 207 -- Material MisstatementsIt shall be unlawful for any person willfully to make any untrue statement of a material ...

The Investment Advisers Act of 1940Section 217 -- PenaltiesAny person who willfully violates any provision of this title, or any rule, regulation, or order promulgated ...

The Investment Advisers Act of 1940Section 206A -- ExemptionsThe Commission, by rules and regulations, upon its own motion, or by order upon application, may conditionally ...

The Investment Advisers Act of 1940Section 218 -- Hiring and Leasing Authority of the Commission The provisions of Section 4(b) of the Securities Exchange Act ...

The Investment Advisers Act of 1940Section 204A -- Prevention of Misuse of Nonpublic Information Every investment adviser subject to Section 204 shall establish, maintain, and ...

The Investment Advisers Act of 1940Section 215 -- Validity of Contracts Waiver of compliance as void. Any condition, stipulation, or provision binding any person to ...

The Investment Advisers Act of 1940Section 204 -- Reports by Investment Advisers Every investment adviser who makes use of the mails or of any means ...

The Investment Advisers Act of 1940Section 201 -- FindingsUpon the basis of facts disclosed by the record and report of the Securities and Exchange Commission ...

The Investment Advisers Act of 1940Section 206 -- Prohibited Transactions by Investment AdvisersIt shall be unlawful for any investment adviser, by use of the mails ...

The Investment Advisers Act of 1940Section 208 -- General ProhibitionsRepresentations of sponsorship by United States or agency thereof. It shall be unlawful for any person ...