Investment Company Act Of 1940

Assessment Of Investment Company Status And New ... - EisnerAmper
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

The Investment Company Act Of 1940 - Gowlings
Technology Law Issues 2009 Section 3(a)(2) of the ’40s Act states that “investment securities” include “all securities” with certain exceptions, such as government securities and ... Read Here

The Investment Company Act Of 1940 - Bridgebay
March 22, 2005 4 CLM ASSOCIATES Definition of an Investment Company Section 3(a)(1) of the 1940 Act defines an “investment company”as any issuer which: ... Get Content Here

INVESTMENT ADVISERS ACT OF 1940 - House Office Of The ...
Sec. 202 INVESTMENT ADVISERS ACT OF 1940 4 (15) ‘‘National securities exchange’’ means an exchange registered under section 6 of the Securities Exchange Act of ... Fetch Content

The Investment Company Act Of 1940 - Washington University In ...
INVESTMENT COMPANY ACT ment house was considered an asset, and stockholders, having faith in the integrity of these firms, felt it to their advantage ... Read Document

Investment Company Act of 1940 – Sections 15(f), 2(a)(3)(C), and 2(a)(19)(B) Rule 12b-1 Citigroup Inc July 26, 2006 Our Ref. No. 20051111427 ... Read More

New Jersey Security Deposit Law And Regulations
The New Jersey security deposit law is known as The Rent Security Deposit Act. is registered under the "Investment Company Act of 1940,” has shares that are registered under the "Securities Act of 1933 and the fund has a maturity date of a year or less. ... Read Article

American Capital Senior Floating, Ltd. Will Report Second Quarter 2015 Results On August 3
BETHESDA, Md., July 10, 2015 /PRNewswire/ -- American Capital Senior Floating, Ltd. (Nasdaq: ACSF) ("ACSF" or the "Company") announced today it will report second quarter 2015 earnings ... Read News

U.S.-based Stock Funds Post Biggest Weekly Outflows Since Jan. -ICI
Investors in U.S.-based mutual funds pulled $3.4 billion out of stock funds in the week ended July 1 after fears surrounding Greece sparked concerns of a U.S. stock market selloff, data from the Investment ... Read News

Mutual Funds - Benefits And Regulations
The SEC monitors the fund’s compliance with the Investment Company Act of 1940, Mutual Fund Basics; Regulations of Mutual Funds About Money Follow us: We deliver. Get the best of About Money in your inbox. Sign up. Thanks for signing up! ... Read Article

Investment Company Act Of 1940 - Saskatchewan
In the matter of the securities legislation of the provinces of alberta, saskatchewan, manitoba, ontario, quebec, nova scotia and newfoundland and labrador ... Visit Document

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

110 Stat. 3438) amended section 203 of the Investment Advisers Act of 1940 by striking ‘‘sub Investment Company Act of 1940, or this title, or the rules or regulations thereunder; (B) has willfully aided, abetted, counseled, com ... Retrieve Doc

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 Act Of 1940: Why The Time Has Come To ...
Investment Company Act of 1940: Why the Time Has Come to Revive Section 3(b)(1) Brian J. Lane Gillian McPhee 160 Robert E. Carlson et al., Investment Company Act Status Questions, THE INVESTMENT LAWYER, Nov. 1999, at 9 (Nov. 1999). ... Fetch This Document

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

PLC The US Investment Company Act - Jones Day | Home
The US Investment Company Act of 1940, as amended (ICA), is a complex piece of legislation designed to pro-tect investors in US investment funds, and has long been a thorn in the side of non-US companies seeking to raise ... Retrieve Document

Private Investment Companies Under Section 3(c)(1) Of The ...
Prívate Investment Companies Under Section 3(c)(l) of the Investment Company Act of 1940 By Thomas P. Lemke* and Gerald T. Lins** INTRODUCTION ... Return Document

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 ... Doc Retrieval

Investment Advisers Act of 1940 - Duane Morris
Purchasers] of the Investment Company Act. 8. www.duanemorris.com Investment Advisers Act of 1940 Robert Bramnik August 2014. Title: Investment Advisers Act of 1940 Author: Robert Bramnik Created Date: 9/11/2014 8:43:15 AM ... Retrieve Content

Implementing Amendments To The Investment Advisers Act of 1940 T
Of the Investment Advisers Act of 1940, as amended (the “Advisers Act”) 3, thus re- under section 54 of the Investment Company Act of 1940, as amended, 15 U.S.C. §§ 80a-1 to 80a-64 (the “Investment Company Act.”). ... Fetch Full Source

The Investment Company Act Of 1940 - JSTOR
The Investment Company Act of 1940 investment company which by 1929 had expanded into 13 companies with total assets of $500,000,000. While investors in this company were sufficiently lucky ... Return 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 ... Get Document

The Key To The Structure Of Mutual Funds
To understand the structure of mutual funds, compare other “40 Act Funds” – investment companies registered under the Investment Company Act of 1940. ... Read Article

Investment Company Act Of 1940
3 INVESTMENT COMPANY ACT OF 1940 Sec. 2 . the character of such securities and the circumstances, policies, and financial responsibility of such companies and their man­ ... Return Document

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 ... Doc Viewer