Securities Lawyer's Deskbook                          published by The University of Cincinnati College of Law

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Table of Contents

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Section 1 -- Findings and Declaration of Policy

Section 2 -- Definitions

Section 3 -- Definition of Investment Company

Section 4 -- Classification of Investment Companies

Section 5 -- Subclassification of Management Companies

Section 6 -- Exemptions

Section 7 -- Transactions by Unregistered Investment Companies

Section 8 -- Registration of Investment Companies

Section 9 -- Ineligibility of Certain Affiliated Persons and Underwriters

Section 10 -- Affiliations or Interest of Directors, Officers, and Employees

Section 11 -- Offers to Exchange Securities

Section 12 -- Functions and Activities of Investment Companies

Section 13 -- Changes in Investment Policy

Section 14 -- Size of Investment Companies

Section 15 -- Contracts of Advisers and Underwriters

Section 16 -- Board of Directors

Section 17 -- Transactions of Certain Affiliated Persons and Underwriters

Section 18 -- Capital Structure of Investment Companies

Section 19 -- Payments or Distributions

Section 20 -- Proxies; Voting Trusts; Circular Ownership

Section 21 -- Loans by Management Companies

Section 22 -- Distribution, Redemption, and Repurchase of Securities; Regulations by Securities Associations

Section 22e-3T -- Temporary Exemption for Liquidation of Certain Money Market Funds

Section 23 -- Closed-End Companies

Section 24 -- Registration of Securities Under Securities Act of 1933

Section 25 -- Reorganization Plans; Reports by Commission

Section 26 -- Unit Investment Trusts

Section 27 -- Periodic Payment Plans

Section 28 -- Face-Amount Certificate Companies

Section 29 -- Bankruptcy of Face-Amount Certificate Companies

Section 30 -- Reports and Financial Statements of Investment Companies and Affiliated Persons

Section 31 -- Accounts and Records

Section 32 -- Accountants and Auditors

Section 33 -- Filing of Documents with Commission in Civil Actions

Section 34 -- Destruction and Falsification of Reports and Records

Section 35 -- Unlawful Representations and Names

Section 36 -- Breach of Fiduciary Duty

Section 37 -- Larceny and Embezzlement

Section 38 -- Rules, Regulations, and Orders

Section 39 -- Procedure for Issuance of Rules and Regulations

Section 40 -- Procedure for Issuance of Orders

Section 41 -- Hearings by Commission

Section 42 -- Enforcement of Title

Section 43 -- Court Review of Orders

Section 44 -- Jurisdiction of Offenses and Suits

Section 45 -- Disclosure of Information Filed with Commission; Copies

Section 46 -- Reports by Commission; Hiring and Leasing Authority

Section 47 -- Validity of Contracts

Section 48 -- Violation of Title

Section 49 -- Penalties

Section 50 -- Construction with Other Laws

Section 51 -- Separability

Section 52 -- Short Title

Section 53 -- Effective Date

Section 54 -- Election to Be Regulated as Business Development Company

Section 55 -- Acquisition of Assets by Business Development Companies

Section 56 -- Qualifications of Directors

Section 57 -- Transactions with Certain Affiliates

Section 58 -- Changes in Investment Policy

Section 59 -- Incorporation of Title Provisions

Section 60 -- Functions and Activities of Business Development Companies

Section 61 -- Capital Structure

Section 62 -- Loans

Section 63 -- Distribution and Repurchase of Securities

Section 64 -- Accounts and Records

Section 65 -- Preventing Compliance with Title; Liability of Controlling Persons

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