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20 results 78d-3
Scoped to Title 15
Exact match Title 15 Title 15 / Chapter 2B SECURITIES EXCHANGES / Section 78d–3

15 U.S.C. § 78d–3

Appearance and practice before the Commission

Chapter 2B SECURITIES EXCHANGES

Exact citation match for 15 USC § 78D-3

Title 15 Title 15 / Section 78d–7

15 U.S.C. § 78d–7

Triennial report on personnel management

Chapter 2B SECURITIES EXCHANGES

Triennial report on personnel management

Title 15 Title 15 / Section 78d–9

15 U.S.C. § 78d–9

Report on oversight of national securities associations

Chapter 2B SECURITIES EXCHANGES

Report on oversight of national securities associations

Title 15 Title 15 / Section 78d

15 U.S.C. § 78d

Securities and Exchange Commission

Chapter 2B SECURITIES EXCHANGES

Securities and Exchange Commission

Title 15 Title 15 / Section 78d–1

15 U.S.C. § 78d–1

Delegation of functions by Commission

Chapter 2B SECURITIES EXCHANGES

Delegation of functions by Commission

Title 15 Title 15 / Section 78d–4

15 U.S.C. § 78d–4

Additional duties of Inspector General

Chapter 2B SECURITIES EXCHANGES

Additional duties of Inspector General

Title 15 Title 15 / Section 78d–6

15 U.S.C. § 78d–6

Report and certification of internal supervisory controls

Chapter 2B SECURITIES EXCHANGES

Report and certification of internal supervisory controls

Title 15 Title 15 / Section 78o–3

15 U.S.C. § 78o–3

Registered securities associations

Chapter 2B SECURITIES EXCHANGES

Registered securities associations

Title 15 Title 15 / Section 80a–3

15 U.S.C. § 80a–3

Definition of investment company

Chapter 2D INVESTMENT COMPANIES AND ADVISERS / Subchapter I INVESTMENT COMPANIES

Definition of investment company

Title 15 Title 15 / Section 80b–3

15 U.S.C. § 80b–3

Registration of investment advisers

Chapter 2D INVESTMENT COMPANIES AND ADVISERS / Subchapter II INVESTMENT ADVISERS

Registration of investment advisers

Title 15 Title 15 / Section 80b–7

15 U.S.C. § 80b–7

Material misstatements

Chapter 2D INVESTMENT COMPANIES AND ADVISERS / Subchapter II INVESTMENT ADVISERS

Material misstatements

Title 15 Title 15 / Section 77aa

15 U.S.C. § 77aa

Schedule of information required in registration statement

Chapter 2A SECURITIES AND TRUST INDENTURES / Subchapter I DOMESTIC SECURITIES

Schedule of information required in registration statement

Title 15 Title 15 / Section 77ttt

15 U.S.C. § 77ttt

Hearings by Commission

Chapter 2A SECURITIES AND TRUST INDENTURES / Subchapter III TRUST INDENTURES

Hearings by Commission

Title 15 Title 15 / Section 78a

15 U.S.C. § 78a

Short title

Chapter 2B SECURITIES EXCHANGES

Short title

Title 15 Title 15 / Section 80a–14

15 U.S.C. § 80a–14

Size of investment companies

Chapter 2D INVESTMENT COMPANIES AND ADVISERS / Subchapter I INVESTMENT COMPANIES

Size of investment companies

Title 15 Title 15 / Section 80a–17

15 U.S.C. § 80a–17

Transactions of certain affiliated persons and underwriters

Chapter 2D INVESTMENT COMPANIES AND ADVISERS / Subchapter I INVESTMENT COMPANIES

Transactions of certain affiliated persons and underwriters

Title 15 Title 15 / Section 80a–32

15 U.S.C. § 80a–32

Filing of documents with Commission in civil actions

Chapter 2D INVESTMENT COMPANIES AND ADVISERS / Subchapter I INVESTMENT COMPANIES

Filing of documents with Commission in civil actions

Title 15 Title 15 / Section 80a–4

15 U.S.C. § 80a–4

Classification of investment companies

Chapter 2D INVESTMENT COMPANIES AND ADVISERS / Subchapter I INVESTMENT COMPANIES

Classification of investment companies

Title 15 Title 15 / Section 80b–4

15 U.S.C. § 80b–4

Reports by investment advisers

Chapter 2D INVESTMENT COMPANIES AND ADVISERS / Subchapter II INVESTMENT ADVISERS

Reports by investment advisers

Title 15 Title 15 / Section 80b–8

15 U.S.C. § 80b–8

General prohibitions

Chapter 2D INVESTMENT COMPANIES AND ADVISERS / Subchapter II INVESTMENT ADVISERS

General prohibitions