§ 80b–1. Findings
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/usc/title-15/section-80b-1A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
Upon the basis of facts disclosed by the record and report of the Securities and Exchange Commission made pursuant to section 79z–4 1 of this title, and facts otherwise disclosed and ascertained, it is found that investment advisers are of national concern, in that, among other things— their advice, counsel, publications, writings, analyses, and reports are furnished and distributed, and their contracts, subscription agreements, and other arrangements with clients are negotiated and performed, by the use of the mails and means and instrumentalities of interstate commerce; their advice, counsel, publications, writings, analyses, and reports customarily relate to the purchase and sale of securities traded on national securities exchanges and in interstate over-the-counter markets, securities issued by companies engaged in business in interstate commerce, and securities issued by national banks and member banks of the Federal Reserve System; and the foregoing transactions occur in such volume as substantially to affect interstate commerce, national securities exchanges, and other securities markets, the national banking system and the national economy.
( Aug. 22, 1940, ch. 686 , title II, § 201, 54 Stat. 847 .)
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U.S. Code
- § 78sRegistration, responsibilities, and oversight of self-regulatory organizations
- § 78cDefinitions and application
- § 1843Interests in nonbanking organizations
- § 1aDefinitions
- § 78oRegistration and regulation of brokers and dealers
- § 1002Definitions
- § 77cClasses of securities under this subchapter
- § 5301Definitions
- § 5481Definitions
- § 1844Administration
- § 1108Exemptions from prohibited transactions
- § 6Regulation of futures trading and foreign transactions
- § 12aRegistration of commodity dealers and associated persons; regulation of registered entities
- § 78uInvestigations and actions
- § 4975Tax on prohibited transactions
- § 6805Enforcement
- § 5336Beneficial ownership information reporting requirements
- § 7706Enforcement generally
CFR
- § 232.101Mandated electronic submissions and exceptions.
- § 232.201Temporary hardship exemption.
- § 200.30-5Delegation of authority to Director of Division of Investment Management.
- § 249.3Definitions.
- § 1010.380Reports of beneficial ownership information.
- § 225.31Control proceedings.
- § 225.170What type of investments are permitted by this subpart, and under what conditions may they be made?
- § 200.30-4Delegation of authority to Director of Division of Enforcement.
- § 1.6045-1Returns of information of brokers and barter exchanges.
- § 329.3Definitions.
- § 200.30-14Delegation of authority to the General Counsel.
- § 200.30-7Delegation of authority to Secretary of the Commission.
- § 200.30-18Delegation of authority to Director of the Division of Examinations.
- § 200.30-10Delegation of authority to Chief Administrative Law Judge.
- § 50.3Definitions.
- § 9.101Providing investment advice for a fee.
- § 238.21Control proceedings.
- § 267.9Open market CLOs.
- § 43.9Open market CLOs.
- § 202.507Transactions required or authorized by Federal law or international agreements, or necessary for compliance with Federal law.
- § 2550.408g-1Investment advice---participants and beneficiaries.
- § 240.15Ba1-1Definitions.
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3 references not yet in our index
- Pub. L. 109-58
- 119 Stat. 974
- 64 Stat. 1265
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§ 80b–1
Findings
Fed. Reg.×306
C.F.R.×39
U.S.C.×28
Stat. Comp.×5
Bills×3
Stat.×1
Pub. L.Pub. L. 109-58
Stat.119 Stat. 974
Stat.64 Stat. 1265
Cites 4Cited by 382 across 6 sources