All Agencies, Latest Month All Agencies, Previous FY Geographic Distributionof Convictions forAll Agencies, FY 2023 6,722 Prosecutionsin February 2024 77,605 Prosecutionsin Fiscal Year 2023 6,798 Convictionsin February 2024 72,462 Convictionsin Fiscal Year 2023 CITE 15 USC Sec. 80 SECTIONS Sec. 80a-1. Findings and declaration of policy Sec. 80a-2. Definitions; applicability; rulemaking considerations Sec. 80a-3. Definition of investment company Sec. 80a-3a. Protection of philanthropy under State law Sec. 80a-4. Classification of investment companies Sec. 80a-5. Subclassification of management companies Sec. 80a-6. Exemptions Sec. 80a-7. Transactions by unregistered investment companies Sec. 80a-8. Registration of investment companies Sec. 80a-9. Ineligibility of certain affiliated persons and underwriters Sec. 80a-10. Affiliations or interest of directors, officers, and employees Sec. 80a-11. Offers to exchange securities Sec. 80a-12. Functions and activities of investment companies Sec. 80a-13. Changes in investment policy Sec. 80a-14. Size of investment companies Sec. 80a-15. Contracts of advisers and underwriters Sec. 80a-16. Board of directors Sec. 80a-17. Transactions of certain affiliated persons and underwriters Sec. 80a-18. Capital structure of investment companies Sec. 80a-19. Payments or distributions Sec. 80a-20. Proxies; voting trusts; circular ownership Sec. 80a-21. Loans by management companies Sec. 80a-22. Distribution, redemption, and repurchase of securities; regulations by securities associations Sec. 80a-23. Closed-end companies Sec. 80a-24. Registration of securities under Securities Act of 1933 Sec. 80a-25. Reorganization plans; reports by Commission Sec. 80a-26. Unit investment trusts Sec. 80a-27. Periodic payment plans Sec. 80a-28. Face-amount certificate companies Sec. 80a-29. Reports and financial statements of investment companies and affiliated persons Sec. 80a-30. Accounts and records Sec. 80a-31. Accountants and auditors Sec. 80a-32. Filing of documents with Commission in civil actions Sec. 80a-33. Destruction and falsification of reports and records Sec. 80a-34. Unlawful representations and names Sec. 80a-35. Breach of fiduciary duty Sec. 80a-36. Larceny and embezzlement Sec. 80a-37. Rules, regulations, and orders Sec. 80a-38. Procedure for issuance of rules and regulations Sec. 80a-39. Procedure for issuance of orders Sec. 80a-40. Hearings by Commission Sec. 80a-41. Enforcement of subchapter Sec. 80a-42. Court review of orders Sec. 80a-43. Jurisdiction of offenses and suits Sec. 80a-44. Disclosure of information filed with Commission; copies Sec. 80a-45. Reports by Commission; hiring and leasing authority Sec. 80a-46. Validity of contracts Sec. 80a-47. Violation of subchapter Sec. 80a-48. Penalties Sec. 80a-49. Construction with other laws Sec. 80a-50. Separability Sec. 80a-51. Short title Sec. 80a-52. Effective date Sec. 80a-53. Election to be regulated as business development company Sec. 80a-54. Acquisition of assets by business development companies Sec. 80a-55. Qualifications of directors Sec. 80a-56. Transactions with certain affiliates Sec. 80a-57. Changes in investment policy Sec. 80a-58. Incorporation of subchapter provisions Sec. 80a-59. Functions and activities of business development companies Sec. 80a-60. Capital structure Sec. 80a-61. Loans Sec. 80a-62. Distribution and repurchase of securities Sec. 80a-63. Accounts and records Sec. 80a-64. Preventing compliance with subchapter; liability of controlling persons Sec. 80b-1. Findings Sec. 80b-2. Definitions Sec. 80b-3. Registration of investment advisers Sec. 80b-3a. State and Federal responsibilities Sec. 80b-4. Reports by investment advisers Sec. 80b-4a. Prevention of misuse of nonpublic information Sec. 80b-5. Investment advisory contracts Sec. 80b-6. Prohibited transactions by investment advisers Sec. 80b-6a. Exemptions Sec. 80b-7. Material misstatements Sec. 80b-8. General prohibitions Sec. 80b-9. Enforcement of subchapter Sec. 80b-10. Disclosure of information by Commission Sec. 80b-10a. Consultation Sec. 80b-11. Rules, regulations, and orders of Commission Sec. 80b-12. Hearings Sec. 80b-13. Court review of orders Sec. 80b-14. Jurisdiction of offenses and suits Sec. 80b-15. Validity of contracts Sec. 80b-16. Omitted Sec. 80b-17. Penalties Sec. 80b-18. Hiring and leasing authority of Commission Sec. 80b-18a. State regulation of investment advisers Sec. 80b-19. Separability Sec. 80b-20. Short title Sec. 80b-21. Effective date Sec. 80c. Liaison between Securities Exchange Commission and Small Business Administration Sec. 80c-1. Annual government-business forum on capital formation Sec. 80c-2. Authorization of appropriations Sec. 80c-3. Reduction of costs of small securities issues
CITE
15 USC Sec. 80
SECTIONS
Sec. 80a-1. Findings and declaration of policy Sec. 80a-2. Definitions; applicability; rulemaking considerations Sec. 80a-3. Definition of investment company Sec. 80a-3a. Protection of philanthropy under State law Sec. 80a-4. Classification of investment companies Sec. 80a-5. Subclassification of management companies Sec. 80a-6. Exemptions Sec. 80a-7. Transactions by unregistered investment companies Sec. 80a-8. Registration of investment companies Sec. 80a-9. Ineligibility of certain affiliated persons and underwriters Sec. 80a-10. Affiliations or interest of directors, officers, and employees Sec. 80a-11. Offers to exchange securities Sec. 80a-12. Functions and activities of investment companies Sec. 80a-13. Changes in investment policy Sec. 80a-14. Size of investment companies Sec. 80a-15. Contracts of advisers and underwriters Sec. 80a-16. Board of directors Sec. 80a-17. Transactions of certain affiliated persons and underwriters Sec. 80a-18. Capital structure of investment companies Sec. 80a-19. Payments or distributions Sec. 80a-20. Proxies; voting trusts; circular ownership Sec. 80a-21. Loans by management companies Sec. 80a-22. Distribution, redemption, and repurchase of securities; regulations by securities associations Sec. 80a-23. Closed-end companies Sec. 80a-24. Registration of securities under Securities Act of 1933 Sec. 80a-25. Reorganization plans; reports by Commission Sec. 80a-26. Unit investment trusts Sec. 80a-27. Periodic payment plans Sec. 80a-28. Face-amount certificate companies Sec. 80a-29. Reports and financial statements of investment companies and affiliated persons Sec. 80a-30. Accounts and records Sec. 80a-31. Accountants and auditors Sec. 80a-32. Filing of documents with Commission in civil actions Sec. 80a-33. Destruction and falsification of reports and records Sec. 80a-34. Unlawful representations and names Sec. 80a-35. Breach of fiduciary duty Sec. 80a-36. Larceny and embezzlement Sec. 80a-37. Rules, regulations, and orders Sec. 80a-38. Procedure for issuance of rules and regulations Sec. 80a-39. Procedure for issuance of orders Sec. 80a-40. Hearings by Commission Sec. 80a-41. Enforcement of subchapter Sec. 80a-42. Court review of orders Sec. 80a-43. Jurisdiction of offenses and suits Sec. 80a-44. Disclosure of information filed with Commission; copies Sec. 80a-45. Reports by Commission; hiring and leasing authority Sec. 80a-46. Validity of contracts Sec. 80a-47. Violation of subchapter Sec. 80a-48. Penalties Sec. 80a-49. Construction with other laws Sec. 80a-50. Separability Sec. 80a-51. Short title Sec. 80a-52. Effective date Sec. 80a-53. Election to be regulated as business development company Sec. 80a-54. Acquisition of assets by business development companies Sec. 80a-55. Qualifications of directors Sec. 80a-56. Transactions with certain affiliates Sec. 80a-57. Changes in investment policy Sec. 80a-58. Incorporation of subchapter provisions Sec. 80a-59. Functions and activities of business development companies Sec. 80a-60. Capital structure Sec. 80a-61. Loans Sec. 80a-62. Distribution and repurchase of securities Sec. 80a-63. Accounts and records Sec. 80a-64. Preventing compliance with subchapter; liability of controlling persons Sec. 80b-1. Findings Sec. 80b-2. Definitions Sec. 80b-3. Registration of investment advisers Sec. 80b-3a. State and Federal responsibilities Sec. 80b-4. Reports by investment advisers Sec. 80b-4a. Prevention of misuse of nonpublic information Sec. 80b-5. Investment advisory contracts Sec. 80b-6. Prohibited transactions by investment advisers Sec. 80b-6a. Exemptions Sec. 80b-7. Material misstatements Sec. 80b-8. General prohibitions Sec. 80b-9. Enforcement of subchapter Sec. 80b-10. Disclosure of information by Commission Sec. 80b-10a. Consultation Sec. 80b-11. Rules, regulations, and orders of Commission Sec. 80b-12. Hearings Sec. 80b-13. Court review of orders Sec. 80b-14. Jurisdiction of offenses and suits Sec. 80b-15. Validity of contracts Sec. 80b-16. Omitted Sec. 80b-17. Penalties Sec. 80b-18. Hiring and leasing authority of Commission Sec. 80b-18a. State regulation of investment advisers Sec. 80b-19. Separability Sec. 80b-20. Short title Sec. 80b-21. Effective date Sec. 80c. Liaison between Securities Exchange Commission and Small Business Administration Sec. 80c-1. Annual government-business forum on capital formation Sec. 80c-2. Authorization of appropriations Sec. 80c-3. Reduction of costs of small securities issues