All Agencies, Latest Month All Agencies, Previous FY Geographic Distribution
of Convictions for
All Agencies, FY 2023
5,403 Prosecutions
in December 2023
77,605 Prosecutions
in Fiscal Year 2023
5,022 Convictions
in December 2023
72,462 Convictions
in Fiscal Year 2023


    15 USC Sec. 80


    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
    Sec. 80a-10. Affiliations or interest of directors, officers, and
    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
    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
    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;
    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
    Sec. 80a-54. Acquisition of assets by business development
    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
    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
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