1940 Investment Company Act

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 ... Read Full Source

Prospect Capital Corporation To Webcast Investor Presentation On July 9: VirtualInvestorConferences.com
Prospect Capital Corporation to Webcast Investor Presentation on July 9: VirtualInvestorConferences.com ... Read News

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

What Is A Registered Investment Advisor Or RIA?
What Is a Registered Investment Advisor? either directly or through publications" according to The Investment Advisers Act of 1940. Generally speaking, an RIA is a limited liability company, ... Read Article

INVESTMENT ADVISERS ACT OF 1940 [AS AMENDED THROUGH P.L. 111-72, APPROVED OCT. 13, 2009] TABLE OF CONTENTS . Sec. 201. Findings. Sec. 202. Definitions. Investment Company Act of 1940, or this title, or the rules or regulations thereunder; ... Fetch Doc

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 ... Access Content

TPG Specialty Lending, Inc. Schedules Earnings Release And Conference Call To Discuss Its Second Quarter 2015 ...
TPG Specialty Lending, Inc. announced today that it will release its second quarter 2015 earnings on Tuesday, August 4, 2015, after the market closes. TSL invites all interested persons to its webcast / conference call on Wednesday, August 5, 2015 at 8:00 a.m. ... Read News

Investment Company Act of 1940 – Section 7(b) Cantor Fitzgerald & Company February 17, 2004 Our Ref. No. 200399956 RESPONSE OF THE OFFICE OF CHIEF COUNSEL Cantor Fitzgerald & Co. ... Fetch Document

Investment Company Act Of 1940
INVESTMENT COMPANY ACT OF 1940 [A S A MENDED THROUGH P.L. 111-72, APPROVED O CT. 13, 2009] TABLE OF CONTENTS . Sec. 1. Findings and Declaration of Policy. ... Fetch This Document

The Investment Company Act Of 1940
The Investment Company Act of 1940 "Investment banker" means any person engaged in the business of underwriting securities issued by other persons, but does not include an investment company, any person who acts as ... Return Doc

Davenport Company Rings The NYSE Closing Bell - YouTube
On Monday, April 8, 2013 executives and guests of Richmond, VA.-based Davenport & Company, LLC will visit the New York Stock Exchange (NYSE) to commemorate the company's 150th anniversary. In celebration of the company's rich history, President and Chief Executive Officer I. Lee ... View Video

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

Tennessee Individual Income Tax - Hall Tax - About.com Travel
While the state of Tennessee does not have the standard state income tax, to authorize the levy of an income tax on dividends from a regulated investment company qualified as such under or individual gain that are exempt from taxation under the Assessment Act, codified in ... 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- ... Access Document

Investment Company Act Of 1940 - Securities And Exchange ...
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 Doc

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. ... Doc Retrieval

The Investment Company Act Of 1940 - Bridgebay
CLM ASSOCIATES The Investment Company Act of 1940 The Corporate Treasurers' Seminar March 22, 2005 Maeve Richard, Consultant Maeve.Richard@sbcglobal.net ... Retrieve Content

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 ... Visit Document

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 ... Access Document

INVESTMENT ADVISERS ACT OF 1940
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 ... Return Document

The Investment Company Act Of 1940 - JSTOR
NOTES The Investment Company Act of 1940 The recent enactment of the Investment Company Act of 19401 has had the dual result of spotlighting the importance and effects of ... Access This Document

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 ... Doc Viewer

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 ... Access This 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 ... Access Content

Supreme Court October Term 2009: What Is In Store? 10-1-09 ...
October 5th marks the first day of the 2009 Supreme Court term. Thus far the Court's docket includes major cases concerning the First Amendment, the separation of powers, civil procedure, criminal law, intellectual property, mutual fund advisers' fees, takings, and more. Notable cases ... View Video

Investment Advisers Act Of 1940 - Securities And Exchange ...
INVESTMENT ADVISERS ACT OF 1940 [AS AMENDED THROUGH P.L. 112-90, APPROVED JANUARY 3, 2012] TABLE OF CONTENTS . Sec. 201. Findings. Sec. 202. Definitions. ... View Document

THE INVESTMENT ADVISERS ACT OF 1940: REGULATION BY ACCRETION
Investment Company Act of 1940, 15 U.S.C. § 80a (2000). Both were originally adopted as part of the same bill and reflect a complementary effort to regulate the investment management industry in the United States following the turbulence of the ... Fetch Doc

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 Content