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The Investment Company Act of 1940 (commonly referred to as the '40 Act) is an act of Congress which regulates investment funds.It was passed as a United States Public Law (Pub. L. 76–768) on August 22, 1940, and is codified at 15 U.S.C. §§ 80a-1–80a-64.
The SEC Regulatory Accountability Act is a bill that was introduced into the United States House of Representatives in the 113th United States Congress.The bill would amend the Securities Exchange Act of 1934 to give new directions to the Securities and Exchange Commission (SEC) governing its regulation creation and amendment process.
The SEC has a three-part mission: to protect investors; maintain fair, orderly, and efficient markets; and facilitate capital formation. [8]To achieve its mandate, the SEC enforces the statutory requirement that public companies and other regulated entities submit quarterly and annual reports, as well as other periodic disclosures.
"The Court holds that the Rule is in excess of the Commission's authority based on the text, history, and structure" of the SEC's founding statutes, U.S. District Judge Reed O'Connor of the ...
(Reuters) -A U.S. appeals court threw out a Securities and Exchange Commission rule intended to give investors more transparency into private funds, handing a victory to the nearly $27 trillion ...
Regulation S-X and the Financial Reporting Releases (Staff Accounting Bulletins) set forth the form and content of and requirements for financial statements required to be filed as a part of (a) registration statements under the Securities Act of 1933 and (b) registration statements under section 12, [2] annual or other reports under sections 13 [3] and 15(d) [4] and proxy and information ...
The SEC's custody rule for investment advisers, first adopted in 1962, was last updated in 2009 in response to the financial crisis. Congress granted the agency new authority in 2010 following the ...
Rule 504 exempts SEC registration of a nonpublic issuer of $1 million or less in securities within a period of one year as long as the issuer discloses the relevant information required by state law. Rule 504 also allows general selling efforts, has no limit on how many purchasers, and purchasers do not need specific qualifications.
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