Act

This rule has to do with the purchase of securities on margin; joint trading accounts; short sales of securities

It shall be unlawful for any of the following persons to serve or act in the capacity of employee, officer, director, member of an advisory ...

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 ...