Code of Federal Regulations · Section
§ 270.6b-1 — b-1 Exemption Of Employees' Securities Company Pending Determination Of Application
17 C.F.R. § 270.6b-1
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Any employees' securities company which files an application for an order of exemption under section 6(b) of the Act (54 Stat. 801; 15 U.S.C. 80a-6) shall be exempt, pending final determination of such application by the Commission, from all provisions of the Act applicable to investment companies as such.
Authorizing Statute
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Registration of securities15 U.S.C. § 77f
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Failure of corporate officers to certify financial reports18 U.S.C. § 1350
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Definitions and application15 U.S.C. § 78c
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Special powers of Commission15 U.S.C. § 77s
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Periodical and other reports15 U.S.C. § 78m