An Act to Provide for the Regulation And Supervision of Investment Companies
An Act to Provide for the Regulation And Supervision of Investment Companies
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A person who knowingly or willfully subscribes to or makes or causes to be made any false statement, or false entry in any book of such investment, company, or exhibits any false paper, with the intention of deceiving any person authorized to examine into the affairs of such investment com- pany, or makes or publishes any false statement of the financial condition of such investment company, or the lands, stocks, bonds or other securities by it offered for sale, shall be fined not more than one... thousand dollars, or shall be imprisoned for not more than ninety days, or both.
Sec. 11. A person who sells or attempts to sell the lands, stock, bonds or other securities of an investment company, domestic or foreign, or the lands, stock, bonds or other securities by it offered for sale, who has not complied with the provisions of this act, or an investment company, domestic or foreign, which does any business, or attempts to do any business, except as provided in section 2 of this act which has not complied with the provisions of this act, or an agent who does or attempts to do any business for an investment company, domestic or foreign, in this state, which agent is not at the time duly registered and has not fully complied with the provisions of this act, shall be fined for each offense not more than one thousand dollars, or shall be imprisoned for not more than ninety days, or both.
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To quickly assess the difficulty of the text, read a short excerpt:
A person who knowingly or willfully subscribes to or makes or causes to be made any false statement, or false entry in any book of such investment, company, or exhibits any false paper, with the intention of deceiving any person authorized to examine into the affairs of such investment com- pany, or makes or publishes any false statement of the financial condition of such investment company, or the lands, stocks, bonds or other securities by it offered for sale, shall be fined not more than one... thousand dollars, or shall be imprisoned for not more than ninety days, or both.
Sec. 11. A person who sells or attempts to sell the lands, stock, bonds or other securities of an investment company, domestic or foreign, or the lands, stock, bonds or other securities by it offered for sale, who has not complied with the provisions of this act, or an investment company, domestic or foreign, which does any business, or attempts to do any business, except as provided in section 2 of this act which has not complied with the provisions of this act, or an agent who does or attempts to do any business for an investment company, domestic or foreign, in this state, which agent is not at the time duly registered and has not fully complied with the provisions of this act, shall be fined for each offense not more than one thousand dollars, or shall be imprisoned for not more than ninety days, or both.
What to read after An Act to Provide for the Regulation And Supervision of Investment Companies?
You can find similar books in the "Read Also" column, or choose other free books by Statutes Vermont Laws to read onlineMoreLess
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