SUBCHAPTER II— INVESTMENT ADVISERS

Release point 118-3 · current through 04/10/2023

Sections

• § 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 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