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15 U.S.C. § 80b–10 — Disclosure of information by Commission

Federal law — U.S. Code and appendices · legal_authorities

15 U.S.C. § 80b–10 — Disclosure of information by Commission

Source: Supplied U.S. Code snapshot — release unconfirmed · 15 U.S.C. § 80b–10

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Stable record: federal_law:legal_authorities:record_usc_6c5094dc45a80d7820dd965a
Source file: Laws/federal/codes/united-states-code/title-15/section-80b10-disclosure-of-information-by-commission--ddc67203b3.md
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Source location: Title 15, Chapter 2D, § 80b–10; chapter-2d-investment-companies-and-advisers.md

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**(a) Information available to public** The information contained in any registration application or report or amendment thereto filed with the Commission pursuant to any provision of this subchapter shall be made available to the public, unless and except insofar as the Commission, by rules and regulations upon its own motion, or by order upon application, finds that public disclosure is neither necessary nor appropriate in the public interest or for the protection of investors. Photostatic or other copies of information contained in documents filed with the Commission under this subchapter and made available to the public shall be furnished to any person at such reasonable charge and under such reasonable limitations as the Commission shall prescribe. **(b) Disclosure of fact of examination or investigation; exceptions** Subject to the provisions of subsections (c) and (d) of [section 80b–9 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section80b-9&num=0&edition=prelim) and [section 78x(c) of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section78x/c&num=0&edition=prelim), the Commission, or any member, officer, or employee thereof, shall not make public the fact that any examination or investigation under this subchapter is being conducted, or the results of or any facts ascertained during any such examination or investigation; and no member, officer, or employee of the Commission shall disclose to any person other than a member, officer, or employee of the Commission any information obtained as a result of any such examination or investigation except with the approval of the Commission. The provisions of this subsection shall not apply— (1) in the case of any hearing which is public under the provisions of [section 80b–12 of this title](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title15-section80b-12&num=0&edition=prelim); or (2) in the case of a resolution or request from either House of Congress. **(c) Disclosure by investment adviser of identity of clients** No provision of this subchapter shall be construed to require, or to authorize the Commission to require any investment adviser engaged in rendering investment supervisory services to disclose the identity, investments, or affairs of any client of such investment adviser, except insofar as such disclosure may be necessary or appropriate in a particular proceeding or investigation having as its object the enforcement of a provision or provisions of this subchapter or for purposes of assessment of potential systemic risk.

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Federal law — U.S. Code and appendices · legal_authorities

12 U.S.C. § 5301 — Regulations

**(a) In general** The Secretary is authorized to promulgate regulations to implement and administer the grant programs and undertakings authorized by this subchapter. **(b) Regulatory authority** Regulations prescribed under this section may contain such classifications, differentiations, or other provisions, and may provide for such adjustments and exceptions for any class of grant programs, undertakings, or eligible entities, as, in the judgment of the Secretary, are necessary or proper to effectuate the purposes of this subchapter, to prevent circumvention or evasion of this subchapter, or to facilitate compliance with this subchapter.

Source: Supplied U.S. Code snapshot — release unconfirmed · 12 U.S.C. § 5301

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Federal law — U.S. Code and appendices · legal_authorities

5 U.S.C. § 552 — Public information; agency rules, opinions, orders, records, and proceedings

**(a)** Each agency shall make available to the public information as follows: (1) Each agency shall separately state and currently publish in the Federal Register for the guidance of the public— (A) descriptions of its central and field organization and the established places at which, the employees (and in the case of a uniformed service, the members) from whom, and the methods whereby, the public may obtain information, make submittals or requests, or obtain decisions; (B) statements of the general course and method by which its functions are channeled and determined, including the nature and requirements of all formal and informal procedures available; (C) rules of procedure, descriptions of forms available or the places at which forms may be obtained, and instructions as to the scope and contents of all papers, reports, or examinations; (D) substantive rules of general applicability adopted as authorized by law, and statements of general policy or interpretations of general applicability formulated and adopted by the agency; and (E) each amendment, revision, or repeal of the foregoing. Except to the extent that a person has actual and timely notice of the terms thereof, a person may not in any manner be required to resort to, or be adversely affected by, a matter required to be published in the Federal Register and not so published. For the purpose of this paragraph, matter reasonably available to the class of persons affected thereby is deemed published in the Federal Register when incorporated by reference therein with the approval of the Director of the Federal Register. (2) Each agency, in accordance with published rules, shall make available for public inspection in an electronic format— (A) final opinions, including concurring and dissen

Source: Supplied U.S. Code snapshot — release unconfirmed · 5 U.S.C. § 552

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Federal law — U.S. Code and appendices · legal_authorities

15 U.S.C. § 78d — Securities and Exchange Commission

**(a) Establishment; composition; limitations on commissioners; terms of office** There is hereby established a Securities and Exchange Commission (hereinafter referred to as the “Commission”) to be composed of five commissioners to be appointed by the President by and with the advice and consent of the Senate. Not more than three of such commissioners shall be members of the same political party, and in making appointments members of different political parties shall be appointed alternately as nearly as may be practicable. No commissioner shall engage in any other business, vocation, or employment than that of serving as commissioner, nor shall any commissioner participate, directly or indirectly, in any stock-market operations or transactions of a character subject to regulation by the Commission pursuant to this chapter. Each commissioner shall hold office for a term of five years and until his successor is appointed and has qualified, except that he shall not so continue to serve beyond the expiration of the next session of Congress subsequent to the expiration of said fixed term of office, and except (1) any commissioner appointed to fill a vacancy occurring prior to the expiration of the term for which his predecessor was appointed shall be appointed for the remainder of such term, and (2) the terms of office of the commissioners first taking office after June 6, 1934, shall expire as designated by the President at the time of nomination, one at the end of one year, one at the end of two years, one at the end of three years, one at the end of four years, and one at the end of five years, after June 6, 1934. **(b) Appointment and compensation of staff and leasing authority** (1) **Appointment and compensation** — The Commission shall appoint and compensate offic

Source: Supplied U.S. Code snapshot — release unconfirmed · 15 U.S.C. § 78d

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Federal law — U.S. Code and appendices · legal_authorities

10 U.S.C. § 992 — Financial literacy training: financial services

**(a) Requirement for Financial Literacy Training Program for Members.—** (1) The Secretary concerned shall carry out a program to provide comprehensive financial literacy training to members of the armed forces under the jurisdiction of the Secretary on— (A) financial services that are available under law to members; (B) financial services that are routinely offered by private sector sources to members; (C) practices relating to the marketing of private sector financial services to members; (D) such other matters relating to financial services available to members, and the marketing of financial services to members, as the Secretary considers appropriate; and (E) such other financial practices as the Secretary considers appropriate. (2) Training under this subsection shall be provided to a member of the armed forces— (A) as a component of the initial entry training of the member; (B) upon arrival at the first duty station of the member; (C) upon arrival at each subsequent duty station, in the case of a member in pay grade E–6 or below or in pay grade O–3 or below; (D) when the member vests in the Thrift Savings Plan (TSP) under [section 8432(g)(2)(C) of title 5](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title5-section8432/g/2/C&num=0&edition=prelim); (E) when the member becomes entitled to receive continuation pay under [section 356 of title 37](https://uscode.house.gov/view.xhtml?req=granuleid:USC-prelim-title37-section356&num=0&edition=prelim), at which time the training shall include, at a minimum, information on options available to the member regarding the use of continuation pay; (F) at each major life event during the service of the member, such as— (i) marriage; (ii) divorce; (iii) birth of fi

Source: Supplied U.S. Code snapshot — release unconfirmed · 10 U.S.C. § 992

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