Act

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 Commission shall submit annually a report to the Congress covering the work of the Commission for the preceding year and including such information, data, ...

An investment adviser registered under this title shall take such steps to safeguard client assets over which such adviser has custody, including, without limitation, verification ...

Nothing in this title shall relieve any person of any obligation or duty, or affect the availability of any right or remedy available to the ...

Securities Exchange Act of 1934Section 1 -- Short TitleThis Act may be cited as the "Securities Exchange Act of 1934."Legislative HistoryJune 6, 1934, c. 404, ...

Securities Exchange Act of 1934Section 22 -- Hearings by Commission Hearings may be public and may be held before the Commission, any member or members ...

Securities Exchange Act of 1934Section 33 -- Separability of Provisions If any provision of this Act, or the application of such provision to any person ...

Securities Exchange Act of 1934Section 34 -- Effective Date This Act shall become effective on July 1, 1934, except that sections 6 and 12(b to ...

Securities Exchange Act of 1934Section 4B -- Transfer of Functions with Respect to Assignment of Personnel to Chairman In addition to the functions transferred by ...

Securities Exchange Act of 1934Section 5 -- Transactions on Unregistered Exchanges It shall be unlawful for any broker, dealer, or exchange, directly or indirectly, to ...