US Code Title 15 Chapter 2D Investment Companies and Advisers

Subchapter I - Investment Companies

§ 80a-1 - Findings and Declaration of Policy
§ 80a-2 - Definitions; Applicability; Rulemaking Considerations
§ 80a-3 - Definition of Investment Company
§ 80a-3a - Protection of Philanthropy Under State Law
§ 80a-4 - Classification of Investment Companies
§ 80a-5 - Subclassification of Management Companies
§ 80a-6 - Exemptions
§ 80a-7 - Transactions by Unregistered Investment Companies
§ 80a-8 - Registration of Investment Companies
§ 80a-9 - Ineligibility of Certain Affiliated Persons and Underwriters
§ 80a-10 - Affiliations or Interest of Directors, Officers, and Employees
§ 80a-11 - Offers to Exchange Securities
§ 80a-12 - Functions and Activities of Investment Companies
§ 80a-13 - Changes in Investment Policy
§ 80a-14 - Size of Investment Companies
§ 80a-15 - Contracts of Advisers and Underwriters
§ 80a-16 - Board of Directors
§ 80a-17 - Transactions of Certain Affiliated Persons and Underwriters
§ 80a-18 - Capital Structure of Investment Companies
§ 80a-19 - Payments or Distributions
§ 80a-20 - Proxies; Voting Trusts; Circular Ownership
§ 80a-21 - Loans by Management Companies
§ 80a-22 - Distribution, Redemption, and Repurchase of Securities; Regulations by Securities Associations
§ 80a-23 - Closed-end Companies
§ 80a-24 - Registration of Securities Under Securities Act of 1933
§ 80a-25 - Reorganization Plans; Reports by Commission
§ 80a-26 - Unit Investment Trusts
§ 80a-27 - Periodic Payment Plans
§ 80a-28 - Face-amount Certificate Companies
§ 80a-29 - Reports and Financial Statements of Investment Companies and Affiliated Persons
§ 80a-30 - Accounts and Records
§ 80a-31 - Accountants and Auditors
§ 80a-32 - Filing of Documents With Commission in Civil Actions
§ 80a-33 - Destruction and Falsification of Reports and Records
§ 80a-34 - Unlawful Representations and Names
§ 80a-35 - Breach of Fiduciary Duty
§ 80a-36 - Larceny and Embezzlement
§ 80a-37 - Rules, Regulations, and Orders
§ 80a-38 - Procedure for Issuance of Rules and Regulations
§ 80a-39 - Procedure for Issuance of Orders
§ 80a-40 - Hearings by Commission
§ 80a-41 - Enforcement of Subchapter
§ 80a-42 - Court Review of Orders
§ 80a-43 - Jurisdiction of Offenses and Suits
§ 80a-44 - Disclosure of Information Filed With Commission; Copies
§ 80a-45 - Reports by Commission; Hiring and Leasing Authority
§ 80a-46 - Validity of Contracts
§ 80a-47 - Liability of Controlling Persons; Preventing Compliance With Subchapter
§ 80a-48 - Penalties
§ 80a-49 - Construction With Other Laws
§ 80a-50 - Separability
§ 80a-51 - Short Title
§ 80a-52 - Effective Date
§ 80a-53 - Election to Be Regulated as Business Development Company
§ 80a-54 - Acquisition of Assets by Business Development Companies
§ 80a-55 - Qualifications of Directors
§ 80a-56 - Transactions With Certain Affiliates
§ 80a-57 - Changes in Investment Policy
§ 80a-58 - Incorporation of Subchapter Provisions
§ 80a-59 - Functions and Activities of Business Development Companies
§ 80a-60 - Capital Structure
§ 80a-61 - Loans
§ 80a-62 - Distribution and Repurchase of Securities
§ 80a-63 - Accounts and Records
§ 80a-64 - Preventing Compliance With Subchapter; Liability of Controlling Persons

Subchapter II - Investment Advisers

§ 80b-1 - Findings
§ 80b-2 - Definitions
§ 80b-3 - Registration of Investment Advisers
§ 80b-3a - State and Federal Responsibilities
§ 80b-4 - Reports by Investment Advisers
§ 80b-4a - Prevention of Misuse of Nonpublic Information
§ 80b-5 - Investment Advisory Contracts
§ 80b-6 - Prohibited Transactions by Investment Advisers
§ 80b-6a - Exemptions
§ 80b-7 - Material Misstatements
§ 80b-8 - General Prohibitions
§ 80b-9 - Enforcement of Subchapter
§ 80b-10 - Disclosure of Information by Commission
§ 80b-10a - Consultation
§ 80b-11 - Rules, Regulations, and Orders of Commission
§ 80b-12 - Hearings
§ 80b-13 - Court Review of Orders
§ 80b-14 - Jurisdiction of Offenses and Suits
§ 80b-15 - Validity of Contracts
§ 80b-16 - Omitted
§ 80b-17 - Penalties
§ 80b-18 - Hiring and Leasing Authority of Commission
§ 80b-18a - State Regulation of Investment Advisers
§ 80b-18b - Custody of Client Accounts
§ 80b-18c - Rule of Construction Relating to the Commodities Exchange Act
§ 80b-19 - Separability
§ 80b-20 - Short Title
§ 80b-21 - Effective Date

Last modified: October 26, 2015