 | United States. Congress. Senate. Committee on Banking and Currency - 1963 - 490 lapas
...complete list of financial crimes and offenses. Clause (D) would be modified to make a violation of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 (and rules and regulations under such statutes), as well as the Securities Act of 1933 and the Securities... | |
 | United States. Congress. Senate. Committee on Banking and Currency - 1963 - 716 lapas
...more complete list of financial crimes and offenses. Clause (D) is modified to make a violation of the Investment Advisers Act of 1940 and the Investment Company Act of 1940 (and rules and regulations under such statutes), as well as the Securities Act of 1933 and the Securities... | |
 | United States. Congress. House. Committee on the District of Columbia - 1964 - 174 lapas
...responsibility to see that those laws are applied in the Nation's Capital. The Federal laws affecting securities include the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company... | |
 | United States. Congress. House. Committee on the District of Columbia - 1964 - 1598 lapas
...responsibility to see that those laws are applied in the Nation's Capital. The Federal laws affecting securities include the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Trust Indenture Act of 1939, the Investment Company... | |
 | United States. Securities and Exchange Commission - 1968 - 76 lapas
...assistance to members of the public in connection with questions under the Federal securities laws. The Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the rules and regulations under those Acts, and the other documents referred to above, are available... | |
 | Wisconsin - 1969 - 1682 lapas
...wilfully failed to comply with any provision of this chapter or a predecessor law or the securities act of 1933, the securities exchange act of 1934, the investment advisers act of 1940, the investment company act of 1940, or any rule under any of such statutes or any order thereunder... | |
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... willfully violated any provision of the Securities Act of 1933, the Securities Exchange Act of 1934... 
