Investment Company Act §34(b)
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1 mentions
1 recordings
first heard Dec 2010
last heard Dec 2010
±0 this month
Investment Company Act §34(b), cited as basis for SEC cease‑and‑desist order
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newest first · ▶ plays the momentDonald L. GannonSupreme Court of the United States · Janus Capital Group, Inc. v. First Derivative Traders (09-52... · 56:01 · Dec 2010
…Well, i the the statute says that uh somebody m any person makes the false statement directly or indirectly, and in this instance the SEC saw um uh got a cease and desist order that's reprinted at uh um page four oh seven in the joint appendix that pre was predicated on a provision of the Investment Company Act, section thirty four B.…
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