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  1. Introductory Text

  2. Provisions for regulating the Business of Dealing in Securities

    1. 1.Licensing of dealers in securities

    2. 2.Saving for certain transactions

    3. 3.Applications for, and grant and extent of, licences

    4. 4.Deposits or guarantees required in connection with applications for principals' licences

    5. 5.Refusal and revocation of licences

    6. 6.References to tribunal of inquiry

    7. 7.Rules of Board of Trade with respect to conduct of business of licensed dealers

    8. 8.Information to be furnished to Board of Trade by holders of licences

    9. 9.Publication of names of holders of principals' licences

  3. Provisions as to Industrial and Provident Societies, Building Societies and Unit Trusts

    1. 10.Provisions as to industrial and provident societies

    2. 11.Provisions as to building societies

    3. 12.Provisions as to unit trusts

  4. General Provisions for the Prevention of Fraud

    1. 13.Penalty for fraudulently inducing persons to invest money

    2. 14.Restriction on distribution of circulars relating to investments

  5. Exemptions

    1. 15.Stock exchanges and associations of dealers in securities

    2. 16.Exemption of certain dealers

    3. 17.Authorised unit trust schemes

  6. Supplementary Provisions

    1. 18.False statements

    2. 19.Offences committed by corporations

    3. 20.Venue in summary proceedings

    4. 21.Regulations

    5. 22.Parliamentary control of rules and regulations

    6. 23.Service of notices

    7. 24.Exercise of powers of Board of Trade

    8. 25.Payment of expenses and appropriation of fees

    9. 26.Interpretation

    10. 27.Application to Scotland

    11. 28.Repeal and savings

    12. 29.Short title, extent and commencement

  7. SCHEDULES

    1. FIRST SCHEDULE

      Matters for which trust deeds pursuant to unit trust schemes must provide

      1. 1.For determining the manner in which the manager's prices for...

      2. 2.For regulating the mode of execution and the issue of...

      3. 3.For prohibiting or restricting the issue by or on behalf...

      4. 4.For securing that any advertisement, circular or other document containing...

      5. 5.For the establishment of a fund to be applied in...

      6. 6.For the audit, and the circulation to holders of units,...

      7. 7.For requiring the manager (subject to any provisions as to...

    2. SECOND SCHEDULE

      Enactments repealed