东方国际经济法律网 ·首 页 ·法律翻译 ·法律法规 ·专业论文 ·国际法 ·公司证券法 ·财经英语 ·翻译世界 ·法律英语
当前位置:首页 > 法律翻译 >正文
1940年投资公司法(中英文对照)

 
 

 

1940年投资公司法

 

1940年8月22日立法;《美国制定法大全》第54编第789页(1940年);《美国法典》第15编第80a-1节至第80a-64节,经修订。

INVESTMENT COMPANY ACT OF 1940

Act of Aug. 22, 1940; 54 Stat. 789 (1940); 15 USC 80a-1-80a-64.

  194 0年投资公司法单行本目录

1    认定与政策声明   

2    定义;适用性;制定规则的考虑因素      

3    投资公司的定义   

3A  州法对慈善事业保护   

4    投资公司的分类   

5    管理公司的分类   

6    豁免      

7    未注册投资公司开展的交易      

8    投资公司的注册   

9    不合格的某些关联人和承销商   

10  董事、高管和员工的关联关系或权益   

11  证券交易要约      

12  投资公司的功能和业务活动      

13  投资政策变动      

14  投资公司规模      

15  顾问和承销商合同      

16  董事会   

17  某些关联人和承销商的交易      

18  投资公司的资本结构   

19  支付或分配   

20  委托代理权;有表决权信托;循环所有权      

21  管理公司提供的贷款   

22  证券的分销、赎回、回购;证券协会进行的监管   

23  封闭式公司   

24       1933年证券法》项下的证券注册      

25  重组计划;委员会提交的报告      

26  单位投资信托公司      

27  定期支付计划      

28  面额凭证公司      

29  面额凭证公司的破产(废止)

30  投资公司和关联人的报告与财务报表      

31  账户与记录   

32  会计师与审计师   

33  民事诉讼中向委员会报送的文件      

34  报告、记录的销毁和伪造      

35  非法陈述和名称   

36  违反职业诚信义务      

37  盗窃与贪污   

38  规则、条例和命令   

39  颁布规则和条例的程序      

40  颁布命令的程序   

41  委员会的听证      

41  本法的执行   

43  法院对命令的审查      

44  违法和诉讼辖权   

45  向委员会提交的信息之披露;副本      

46  委员会的报告;雇用和租赁权      

47  合同的有效性      

48  对本法的违反      

49  处罚      

50  对其他法律的解释      

51  可分割性      

52  简称      

53  生效日   

54  选择作为企业开发公司接受监管      

55  企业开发公司收购资产      

56  董事资格      

57  与某些关联人之间的交易   

58  投资政策的变动   

59  本法条款的合并   

60  企业开发公司的功能和业务活动      

61  资本结构      

62  贷款      

63  证券分销与回购   

64  账户与记录   

65  阻止对本法的遵从;控制权人的责任   

TABLE OF CONTENTS
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 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

(如需要中英文对照全文请联系我们或法律出版社)


推荐给好友】 【 】 【打印】 【关闭
| 本站介绍 | 联系我们 | 产品与服务 | 团队介绍 | 版权声明 |
北京赛诺亚信息咨询有限公司 京ICP备05010199
版权所有©东方国际经济法律网
All Rights Reserved © eastwestlaw.com