§ 80a–37. Rules, regulations, and orders
611 words·~3 min read·
/usc/title-15/section-80a-37A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
The Commission shall have authority from time to time to make, issue, amend, and rescind such rules and regulations and such orders as are necessary or appropriate to the exercise of the powers conferred upon the Commission elsewhere in this subchapter, including rules and regulations defining accounting, technical, and trade terms used in this subchapter, and prescribing the form or forms in which information required in registration statements, applications, and reports to the Commission shall be set forth.
For the purposes of its rules or regulations the Commission may classify persons, securities, and other matters within its jurisdiction and prescribe different requirements for different classes of persons, securities, or matters. The Commission, by such rules and regulations or order as it deems necessary or appropriate in the public interest or for the protection of investors, may authorize the filing of any information or documents required to be filed with the Commission under this subchapter, subchapter II of this chapter, the Securities Act of 1933 [ 15 U.S.C. 77a et seq.], the Securities Exchange Act of 1934 [ 15 U.S.C. 78a et seq.], or the Trust Indenture Act of 1939 [ 15 U.S.C. 77aaa et seq.], by incorporating by reference any information or documents theretofore or concurrently filed with the Commission under this subchapter or any of such Acts.
No provision of this subchapter imposing any liability shall apply to any act done or omitted in good faith in conformity with any rule, regulation, or order of the Commission, notwithstanding that such rule, regulation, or order may, after such act or omission, by amended or rescinded or be determined by judicial or other authority to be invalid for any reason. ( Aug. 22, 1940, ch. 686 , title I, § 38, 54 Stat. 841 ; Pub. L. 111–203, title IX, § 986(c)(3) , July 21, 2010 , 124 Stat. 1936 .)
Connections255 cite this · traces to 5
Cited by 255 sections · top 60
CFR
- § 230.605Filing and use of the offering circular.
- § 239.200Form 1-E, notification under Regulation E.
- § 230.604Filing of notification on Form 1-E.
- § 230.602Securities exempted.
- § 230.606Offering not in excess of \$100,000.
- § 230.603Amount of securities exempted.
- § 270.7d-1Specification of conditions and arrangements for Canadian management investment companies requesting order permitting registration.
- § 270.14a-3Exemption from section 14(a) of the Act for certain registered unit investment trusts and their principal underwriters.
- § 270.22d-1Exemption from section 22(d) to permit sales of redeemable securities at prices which reflect sales loads set pursuant to a schedule.
register
- Rules and RegulationsProposed rule
- Rules and RegulationsPolicy statement
- Rules and RegulationsFinal rule
- NoticesProposed rules
- Proposed RulesFinal rule
- Rules and RegulationsPublication of Staff Accounting Bulletin
- Proposed RulesProposed rule
- Rules and RegulationsSemiannual regulatory agenda
- UnknownFinal rule
- Rules and RegulationsSemiannual regulatory agenda
- NoticesFinal rule
- Rules and RegulationsFinal rule
- Rules and RegulationsFinal rule
- NoticesFinal rule
- Rules and RegulationsSemiannual regulatory agenda
- Rules and RegulationsPublication of Staff Accounting Bulletin
- Rules and RegulationsSemiannual regulatory agenda
- Rules and RegulationsFinal rule
- Presidential DocumentsProposed rule
- Proposed RulesFinal rules
- Rules and RegulationsSemiannual Regulatory Agenda
- Proposed RulesProposed rule
- NoticesFinal rule
- Proposed RulesPublication of list of rules scheduled for review
- NoticesPublication of staff accounting bulletin
- NoticesFinal rule; technical amendments
- Rules and RegulationsSemiannual regulatory agenda
- NoticesPublication of list of rules scheduled for review
- NoticesSemiannual regulatory agenda
- Proposed RulesProposed rule
- Proposed RulesSemiannual regulatory agenda
- Rules and RegulationsSemiannual regulatory agenda
- NoticesProposed rule
- Rules and RegulationsFinal rule amendments
- Rules and RegulationsFinal rule
- Presidential DocumentsProposed rule
- NoticesProposed rule
- Rules and RegulationsSemiannual regulatory agenda
- Rules and RegulationsSemiannual Regulatory Agenda
- NoticesProposed rule
- Rules and RegulationsFinal rule
- NoticesNotice of the Commission's intention to rescind an order pursuant to section 38(a) of the Investment Company Act of 1940 (the “Act”)
- Rules and RegulationsFinal rule
- NoticesProposed rule
- Rules and RegulationsProposed rule
- Proposed RulesProposed rules
- NoticesProposed rule; re-opening of comment period
- Proposed RulesPublication of list of rules scheduled for review
- Rules and RegulationsFinal rule
- Rules and RegulationsSemiannual regulatory agenda
- NoticesNotice of the Commission's intention to rescind an order pursuant to section 38(a) of the Investment Company Act of 1940 (“Act”)
Traces to 5 documents
statutes-at-large
- to provide full and fair disclosure of the character of securities sold in interstate and foreign commerce and through the mails, and to prevent frauds in the sale thereof, and for other purposes”, approved May 27, 1933, as amended, is amended by adding at[48 Stat. 74](/us/stat/48/74). [15 UPublic Law 254
- /statutes-at-large/vol-48/public-law-291Public Law 291
5 references not yet in our index
- 54 Stat. 841
- Pub. L. 111-203
- 124 Stat. 1936
- 53 Stat. 1149
- 64 Stat. 1265
Citation graph
cites case law
§ 80a–37
Rules, regulations, and orders
Fed. Reg.×244
C.F.R.×11
Stat.54 Stat. 841
Pub. L.Pub. L. 111-203
Stat.124 Stat. 1936
Stat.53 Stat. 1149
Stat.64 Stat. 1265
Cites 10Cited by 255 across 2 sources