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Ingested titles 12–51 and 54 from OLRC USLM XML @119-100 (the whole Code now, uniform edition; Title 53 is reserved/empty). LegalText 11,221 -> 59,740; repo total 105,704 records. Deterministic (byte-identical rerun, verified on Title 42's 8,356 sections); make check green. make legal-us-code default now covers every title. Co-Authored-By: Claude Opus 4.8 <noreply@anthropic.com>
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| LegalText | 15 U.S.C. § 80b–4a | Prevention of misuse of nonpublic information | us | united_states_code | code_section | 15 | COMMERCE AND TRADE | 2D | INVESTMENT COMPANIES AND ADVISERS | 80b–4a | 15 U.S.C. § 80b–4a | current | 119-100 | 2026-06-26 | official | https://uscode.house.gov/download/releasepoints/us/pl/119/100/xml_usc15@119-100.zip | /us/usc/t15/s80b–4a | data/legal/raw/us/code/title-15/usc15.xml | 56f2b18624a27b40e34f2a59c8e498d6f9ae1171698f6e8933aa9fec80442a0b | 6982338d990ef19d6b52bff6825089bdd6d0ee1233d9382673faf533decd5059 | 4e29246e662b0f4df7e71e00fb9dfc34783c2ac18717d18cbac3b98b99a43e9b | 2026-07-04 | official |
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15 U.S.C. § 80b–4a - Prevention of misuse of nonpublic information
Text
Every investment adviser subject to section 80b–4 of this title shall establish, maintain, and enforce written policies and procedures reasonably designed, taking into consideration the nature of such investment adviser’s business, to prevent the misuse in violation of this chapter or the Securities Exchange Act of 1934 [15 U.S.C. 78a et seq.], or the rules or regulations thereunder, of material, nonpublic information by such investment adviser or any person associated with such investment adviser. The Commission, as it deems necessary or appropriate in the public interest or for the protection of investors, shall adopt rules or regulations to require specific policies or procedures reasonably designed to prevent misuse in violation of this chapter or the Securities Exchange Act of 1934 (or the rules or regulations thereunder) of material, nonpublic information.
(Aug. 22, 1940, ch. 686, title II, § 204A, as added Pub. L. 100–704, § 3(b)(2), Nov. 19, 1988, 102 Stat. 4680.)
Notes
Editorial Notes
References in TextThe Securities Exchange Act of 1934, referred to in text, is act June 6, 1934, ch. 404, 48 Stat. 881, which is classified principally to chapter 2B (§ 78a et seq.) of this title. For complete classification of this Act to the Code, see section 78a of this title and Tables.
Statutory Notes and Related Subsidiaries
Effective DateSection not applicable to actions occurring before Nov. 19, 1988, see section 9 of Pub. L. 100–704 set out as an Effective Date of 1988 Amendment note under section 78o of this title.