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U.S.C.
Notes

§8477. Fiduciary responsibilities; liability and penalties — Inbound Citations

5 U.S.C. § 8477

Cited by 3 provisions in release 119-102.

Citations to 5 U.S.C. § 8477 as a whole

  • 5 U.S.C. § 8438(a)(8)(D)(ii)
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    (ii) payment of all of the investment adviser’s liabilities, including any liabilities which may arise by reason of a breach or violation of a duty described in section 8477 of this title, is unconditionally guaranteed by—
    (I) a person (as defined in section 8471(4) of this title) who directly or indirectly, through one or more intermediaries, controls, is controlled by, or is under common control with the investment adviser and who has, on the last day of the person’s latest fiscal year ending before the date of a determination for the purpose of this clause, shareholder’s or partner’s equity in an amount which, when added to the amount of the shareholder’s or partner’s equity of the investment adviser on such day, exceeds $750,000;
    (II) a qualified professional asset manager described in subparagraph (A), (B), or (C); or
    (III) a broker or dealer registered under section 15 of the Securities Exchange Act of 1934 (15 U.S.C. 78o) that has, on the last day of the broker’s or dealer’s latest fiscal year ending before the date of a determination for the purpose of this clause, net worth in excess of $750,000;
  • 5 U.S.C. § 8478a
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    Any authority available to the Secretary of Labor under section 504 of the Employee Retirement Income Security Act of 1974 is hereby made available to the Secretary of Labor, and any officer designated by the Secretary of Labor, to determine whether any person has violated, or is about to violate, any provision of section 8477 or 8478.

Citations to §8477(c)(1)