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INVESTMENT COMPANY ACT OF 1940(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.

 

 

在《美国法典》中对应的目录

美国法典》第15编第2D章

第一分章——投资公司

80a-1. 认定与政策声明

80a-2. 定义;适用性;制定规则的考虑因素

80a-3. 投资公司的定义

80a-3a. 州法对慈善事业保护

80a-4. 投资公司的分类

80a-5. 管理公司的分类

80a-6. 豁免

80a-7. 未注册投资公司开展的交易

80a-8. 投资公司的注册

80a-9. 不合格的某些关联人和承销商

80a-10. 董事、高管和员工的关联关系或权益

80a-11. 证券交易要约

80a-12. 投资公司的功能和业务活动

80a-13. 投资政策变动

80a-14. 投资公司规模

80a-15. 顾问和承销商合同

80a-16. 董事会

80a-17. 某些关联人和承销商的交易

80a-18. 投资公司的资本结构

80a-19. 支付或分配

80a-20. 委托代理权;有表决权信托;循环所有权

80a-21. 管理公司提供的贷款

80a-22. 证券的分销、赎回、回购;证券协会进行的监管

80a-23. 封闭式公司

80a-24. 1933年证券法》项下的证券注册

80a-25. 重组计划;委员会提交的报告

80a-26. 单位投资信托公司

80a-27. 定期支付计划

80a-28. 面额凭证公司

80a-29. 投资公司和关联人的报告与财务报表

80a-30. 账户与记录

80a-31. 会计师与审计师

80a-32. 民事诉讼中向委员会报送的文件

80a-33. 报告、记录的销毁和伪造

80a-34. 非法陈述和名称

80a-35. 违反职业诚信义务

80a-36. 盗窃与贪污

80a-37. 规则、条例和命令

80a-38. 颁布规则和条例的程序

80a-39. 颁布命令的程序

80a-40. 委员会的听证

80a-41. 本法的执行

80a-42. 法院对命令的审查

80a-43. 违法和诉讼辖权

80a-44. 向委员会提交的信息之披露;副本

80a-45. 委员会的报告;雇用和租赁权

80a-46. 合同的有效性

80a-47. 对本法的违反

80a-48. 处罚

80a-49. 对其他法律的解释

80a-50. 可分割性

80a-51. 简称

80a-52. 生效日

80a-53. 选择作为企业开发公司接受监

80a-54. 企业开发公司收购资产

80a-55. 董事资格

80a-56. 与某些关联人之间的交易

80a-57. 投资政策的变动

80a-58. 本法条款的合并

80a-59. 企业开发公司的功能和业务活动

80a-60. 资本结构

80a-61. 贷款

80a-62. 证券分销与回购

80a-63. 账户与记录

80a-64. 阻止对本法的遵从;控制权人的责任

USC TITLE 15 > CHAPTER 2D > SUBCHAPTER I

SUBCHAPTER I—INVESTMENT COMPANIES

§ 80a-1. Findings and declaration of policy

§ 80a-2. Definitions; applicability; rulemaking considerations

§ 80a-3. Definition of investment company

§ 80a-3a. Protection of philanthropy under State law

§ 80a-4. Classification of investment companies

§ 80a-5. Subclassification of management companies

§ 80a-6. Exemptions

§ 80a-7. Transactions by unregistered investment companies

§ 80a-8. Registration of investment companies

§ 80a-9. Ineligibility of certain affiliated persons and underwriters

§ 80a-10. Affiliations or interest of directors, officers, and employees

§ 80a-11. Offers to exchange securities

§ 80a-12. Functions and activities of investment companies

§ 80a-13. Changes in investment policy

§ 80a-14. Size of investment companies

§ 80a-15. Contracts of advisers and underwriters

§ 80a-16. Board of directors

§ 80a-17. Transactions of certain affiliated persons and underwriters

§ 80a-18. Capital structure of investment companies

§ 80a-19. Payments or distributions

§ 80a-20. Proxies; voting trusts; circular ownership

§ 80a-21. Loans by management companies

§ 80a-22. Distribution, redemption, and repurchase of securities; regulations by securities associations

§ 80a-23. Closed-end companies

§ 80a-24. Registration of securities under Securities Act of 1933

§ 80a-25. Reorganization plans; reports by Commission

§ 80a-26. Unit investment trusts

§ 80a-27. Periodic payment plans

§ 80a-28. Face-amount certificate companies

§ 80a-29. Reports and financial statements of investment companies and affiliated persons

§ 80a-30. Accounts and records

§ 80a-31. Accountants and auditors

§ 80a-32. Filing of documents with Commission in civil actions

§ 80a-33. Destruction and falsification of reports and records

§ 80a-34. Unlawful representations and names

§ 80a-35. Breach of fiduciary duty

§ 80a-36. Larceny and embezzlement

§ 80a-37. Rules, regulations, and orders

§ 80a-38. Procedure for issuance of rules and regulations

§ 80a-39. Procedure for issuance of orders

§ 80a-40. Hearings by Commission

§ 80a-41. Enforcement of subchapter

§ 80a-42. Court review of orders

§ 80a-43. Jurisdiction of offenses and suits

§ 80a-44. Disclosure of information filed with Commission; copies

§ 80a-45. Reports by Commission; hiring and leasing authority

§ 80a-46. Validity of contracts

§ 80a-47. Violation of subchapter

§ 80a-48. Penalties

§ 80a-49. Construction with other laws

§ 80a-50. Separability

§ 80a-51. Short title

§ 80a-52. Effective date

§ 80a-53. Election to be regulated as business development company

§ 80a-54. Acquisition of assets by business development companies

§ 80a-55. Qualifications of directors

§ 80a-56. Transactions with certain affiliates

§ 80a-57. Changes in investment policy

§ 80a-58. Incorporation of subchapter provisions

§ 80a-59. Functions and activities of business development companies

§ 80a-60. Capital structure

§ 80a-61. Loans

§ 80a-62. Distribution and repurchase of securities

§ 80a-63. Accounts and records

§ 80a-64. Preventing compliance with subchapter; 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)



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