The Investment Company Act Of 1940

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 ... View This Document

ClearBridge American Energy MLP Fund Inc. Announces Unaudited Balance Sheet Information As Of June 30, 2015
NEW YORK--(BUSINESS WIRE)--ClearBridge American Energy MLP Fund Inc. (NYSE:CBA) announced today the unaudited statement of assets and liabilities, the net asset value and asset coverage ratio of the Fund as of June 30, 2015. As of June 30, 2015, the Fund’s net assets were $906.0 million, and its net asset value per share was $15.54. The Fund’s asset coverage ratio under the Investment Company ... Read News

Mergers And Acquisitions Of Investment Managers: Assignment ...
Investment Company Act of 1940 (1940 Act) and the Investment Advisers Act of 1940 (Advisers Act). 1940 Act defines “assignment” as “any direct or indirect transfer or hypothecation of a contract or chose in action by the assignor, or of a ... Retrieve Full Source

Investment Advisers Act of 1940 - Duane Morris
Registered under the Investment Company Act. • Qualifying investments are also defined to exclude reporting Investment Advisers Act of 1940 Robert Bramnik August 2014. Title: Investment Advisers Act of 1940 Author: Robert Bramnik Created Date: ... Return Document

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 ... Doc Retrieval

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 ... Read Here

Investment company - Wikipedia, The Free Encyclopedia
In general, each of these investment companies must register under the Securities Act of 1933 and the Investment Company Act of 1940. A major type of company not covered under the Investment Company Act is private investment companies, ... Read Article

TPG Specialty Lending Celebrates IPO On The NYSE - YouTube
Executives and guests of TPG Specialty Lending, Inc., a specialty finance company focused on lending to middle-market companies, will visit the New York Stoc ... View Video

Unit Investment Trust Basics For New Investors
A unit investment trust is registered with the United States Securities and Exchange Commission under the Investment Company Act of 1940. The second is a "regulated investment company", in which the unit holder owns Unit Investment Trust Basics for New Investors About Money ... Read Article

SEC Proposes Rules Implementing Amendments To the Investment ...
SEC Proposes Rules Implementing Amendments to the Investment Advisers Act of 1940 T his memorandum provides a general overview of new rules, rule amendments ... Get Content Here

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”). ... Document Viewer

Business Development Compan - Morrison Foerster
Constraints imposed by the Investment Company Act of 1940, as amended 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 making investments in certain securities specified in ... Document Retrieval

Investment Advisers Act of 1940 - Marlowe Legal Advisors, LLC
Capital and Private Fund Exemptions under the Investment Advisers Act of 1940). Investment Company Act of 1940 (t he “40 Act”) to meet the mutual fund exemption, will have to assess future investors carefully as 3(c )( 1 ) ... Access This Document

US Securities And Exchange Commission Issues Concept Release ...
4 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 ... Fetch Content

Compliance Programs Of Investment Companies And Investment ...
Compliance Programs of Investment Companies and Investment Advisers INTRODUCTION Commission (“SEC”) adopted new rules under the Investment Advisers Act of 1940 (“Advisers Act”) and the Investment Company Act of 1940 (“1940 Act”) that require each investment company (“fund”) ... Return Doc

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 ... Access Content

Prospect Capital Commits $31 Million Of First Lien Floating Rate Debt To Support The Acquisition Of Intelius
Prospect Capital Corporation announced today that Prospect has committed up to $31 million to support the acquisition of Intelius Holdings, Inc. , an information commerce company, by an affiliate of H.I.G. ... Read News

Investment Company Determination Under The 1940 Act ...
Copyright 2003 by the American Bar Association The following excerpt is from Investment Company Determination under the 1940 Act: Exemptions and ... View Document

SEC Issues Final Rules Implementing Dodd-Frank Amendments To ...
Threshold by analogy to rule 35d-1 (the “names rule”) under the Investment Company Act of 1940 ... Read Full Source

DEFINITION OF A SECURITY - American Bar
2 Investment Company Determination under the 1940 Act The term “security” is defined in Section 2(a)(36) of the 19405 Act to mean, “unless the ... Read More

Face-amount Certificate company - Wikipedia, The Free ...
A face-amount certificate company is an investment company which offers an investment certificate as defined by the Investment Company Act of 1940. In general, these companies issue fixed income debt securities that obligate the issuer to pay a fixed sum at a future date. They are generally sold ... Read Article

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 ... Fetch Doc

KRAMER LEVIN NAFTALIS & FRANKEL LLP - Public Alternative Funds
Voting stock of another investment company; (ii) (Rules 17f-4, 17f-5 and 17f-7 under the 1940 Act.) • A mutual fund must adopt a written code of ethics and institute procedures governing personal trading in securities by officers, ... Read Here

Mutual Fund - Wikipedia, The Free Encyclopedia
They are not governed by the Investment Company Act of 1940 and are not required to register with the SEC The Revenue Act of 1936 established guidelines for the taxation of mutual funds, while the Investment Company Act of 1940 governs their structure. ... Read Article

Harvest Capital Credit Corporation To Report Second Quarter 2015 Results On August 10, 2015
Harvest Capital Credit Corporation announced today that it will report financial results for the fiscal quarter ended June 30, 2015 before market open on Monday, August 10, 2015. ... Read News