Investment Company Act 1940

Securities Regulation -- Investment Company Act Of 1940 ...
CASE NOTES not impliedly incorporated into the Investment Company Act. The rulings in Kukman and Insurance Securities are in direct contrast to ... Read More

Criminal Prosecutions Under The Investment Company Act Of ...
CRIMINAL PROSECUTIONS UNDER THE INVESTMENT COMPANY ACT OF 1940 AND THE INVESTMENT ADVISERS ACT ARTHUR F. MATHEWS* Although the law relating to investment companies _has developed ... Retrieve Document

Investment Company Act Of 1940: Why The Time Has Come To ...
The Investment Company Act of 1940: Why the Time Has Come to Revive Section 3(b)(1) By Brian J. Lane and Gillian McPhee* The "new economy" of the high-technology era has brought with it fundamental changes in ... Fetch Here

Investment Certificate - Wikipedia, The Free Encyclopedia
An investment certificate is an investment product offered by an investment company or brokerage firm designed to offer a competitive yield to an investor with the added safety of their principal. today known as Ameriprise Financial. ... Read Article

SEI Global Asset Management Product Guide Private Funds - 3(c ...
Registered under the US Investment Company Act of 1940 (“1940 Act” or “’40 Act”). Examples of private funds include hedge funds and private equity funds. Private under the Investment Advisers Act of 1940 (“Advisers Act”). ... Read Here

INVESTMENT ADVISERS ACT OF 1940 - House Office Of The ...
INVESTMENT ADVISERS ACT OF 1940 øReferences in brackets ø¿ are to title 15, United States Code¿ Act of 1934, the Investment Company Act of 1940, this title, the Commodity Exchange Act, the rules or regulations under ... Read Content

Investment Company Determination Under The 1940 Act ...
Section 3(a) of the 1940 Act1 defines an investment company in three different ways: Section 3(a)(1)(A) company (and an issuer) under the 1940 Act, which is distinct from the insurance company that created it. Moreover, ... Fetch Full Source

TITLE I—AMENDMENTS TO THE INVESTMENT COMPANY ACT OF 1940
40 broker-dealers involving business development company securities are made only to customers able to afford the risks of the investment Section 65—Liability of Controlling Persons; Preventing Compliance with Title ... Fetch Document

POTENTIAL EXEMPTIONS UNDER THE INVESTMENT COMPANY ACT OF 1940
Employees securities company for current and former employees • Exemptive order must be sought but entity can function as an ESC while relief is obtained ... View Full Source

Solar Capital Ltd. Schedules The Release Of Its Financial Results For The Quarter Ended June 30, 2015
Solar Capital Ltd. today announced that it will release its financial results for the quarter ended June 30, 2015 on Tuesday, August 4, 2015, after the close of the financial markets. ... Read News

Investment Advisers Act Of 1940 - Section 206; Investment ...
Investment Advisers Act of 1940 - Section 206; Investment Company Act of 1940 - Section 3(c) (11) Feb 27, 1976 . First National Bank of Akron ... Fetch Document

What Is A Money Market Fund? Definition And Uses Of This ...
Money market funds are a popular and Perhaps the most common form of bond investing involves the class of mutual funds known as money market funds. These investment Money market funds are regulated by Securities and Exchange Commission's (SEC) Investment Company Act of 1940 ... Read Article

Business Development Compan - Morrison Foerster
Section 2(a)(48) of the 1940 Act defines business development company to mean a domestic closed-end company that (1) operates for the purpose of exclusion from the definition of investment company under the 1940 Act. The SBIC subsidiary issues SBA-guaranteed debentures, ... View Document

Compliance Programs Of Investment Companies And Investment ...
Compliance Programs of Investment Companies and Investment Advisers INTRODUCTION On December 3, 2003, (“Advisers Act”) and the Investment Company Act of 1940 (“1940 Act”) that require each investment company (“fund”) and investment adviser (“adviser”) registered with the SEC ... Return Document

Investment Company Act Of 1940 - Saskatchewan
Headnote Mutual Reliance Review System for Exemptive Relief Applications – securities of issuer registered under section 12 of the 1934 Act – issuer not required to register under ... Access Full Source

INVESTMENT COMPANY ACT OF 1940 AND INVESTMENT ... - Ballard Spahr
INVESTMENT COMPANY ACT AND INVESTMENT ADVISERS ACT OF 1940, AS AMENDED. Ballard Spahr Andrews & Ingersoll, LLP JohnN.Ake,Esq. E.Carolan Berkley,Esq. ... Fetch Document

Investment Advisers Act Of 1940 - Duane Morris
Investment Advisers Act of 1940 Robert Bramnik August 2014. www.duanemorris.com registered under the Investment Company Act. • Qualifying investments are also defined to exclude reporting companies (pursuant to the Securities Exchange Act of 1934, as ... Get Content Here

Investment Advisers Act Of 1940 - Wikipedia, The Free ...
The Investment Advisers Act of 1940, The thrust of this study, which led to the passage of the Investment Company Act of 1940 and the Investment Advisers Act, was to provide a closer look at investment trusts and investment companies. The study, ... Read Article

Implementing Amendments To The Investment Advisers Act Of 1940 T
Implementing Amendments to the Investment Advisers Act of 1940 T his memorandum provides a general overview of the new rules, rule amend-ments and Form ADV amendments that the Securities and Exchange Commis- ... View This Document

SEC Issues Final Rules Implementing Dodd-Frank Amendments To ...
Private funds, investment companies, asset-backed issuers relying on the rule 3a-7 exemption under the Investment Company Act and commodity pools are excluded from the definition ... Access Doc

Investment Company Act Of 1940 - Wikipedia, The Free Encyclopedia
The Investment Company Act of 1940 is an act of Congress. It was passed as a United States Public Law) on August 22, 1940, and is codified at 15 U.S.C.. Along with the Securities Exchange Act of 1934 and Investment Advisers Act of 1940, and extensive rules issued by the Securities and Exchange ... Read Article

Accounting FASB Accounting Standards Update Investment ...
ASSESSMENT OF INVESTMENT COMPANY STATUS ASU 2013-08 automatically defines an investment company that is an entity regulated under the Investment Company Act of 1940 YouTube; LinkedIn; Google+ ... View Video

Decoding The SEC Social Media Guidance Update
Social media use by financial advisers and investment companies is governed by Section 24(b) of the Investment Company Act of 1940, Decoding the SEC Social Media Guidance Update About Money Follow us: We deliver. Get the best of About Money in your inbox. ... Read Article

Investment Advisers Act Of 1940 As Amended
Investment Advisers Act of 1940 as Amended A Bowne Red Box Service Publication. Print Date: July 9, 1998 This publication is designed to provide accurate and authoritative Investment Company Act of 1940, or the trustees, administrators, settlors (or potential ... Access Doc

US Securities And Exchange Commission Issues Concept Release ...
2 Mayer Brown | US Securities and Exchange Commission Issues Concept Release and Request for Comments Regarding Investment Company Exclusion under Section 3(c)(5)(C) of the Investment Company Act of 1940 ... Read Content

SEC Regulation Of Investment Company Investments In ...
SEC Regulation of Investment Company Investments in Securities Related Businesses Under the Investment Company Act of 1940 Lawrence P. Stadulis and ... Get Doc