Investment Company Act Of 1940 Summary

Public Utility Holding Company Act Of 1935 - Wikipedia, The ...
Public Utility Holding Company Act of 1935. From Wikipedia, the free encyclopedia. Jump to: navigation, search. ... Read Article

Use Of Credit Ratings Under The Investment Company Act of 1940
Use of Credit Ratings Under the Investment Company Act of 1940 SUMMARY As discussed in our companion publication, also issued today, titled Credit Ratings: SEC Acts on a Broad Range of Amendments Related to Credit Rating Agencies and the Use of Credit Ratings, the SEC has ... Fetch Content

• by an insurance business for the general account of the insurance company.5 The Volcker Rule from SEC registration under the Investment Company Act of 1940 (the “1940 Act any “similar fund” determined by the Regulators. See “Private Fund Investment Advisers.” The Volcker ... Access Full Source

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 Article

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.”). ... Get Content Here

Stellus Capital Investment Corporation Declares Third Quarter 2015 Regular Dividend Of $0.34 Per Share
Stellus Capital Investment Corporation announced today that on July 8, 2015, its Board of Directors declared a regular monthly dividend for each of July, August and September for an aggregate of $0.34 ... Read News

Summary Steps: Investment Adviser Registration
Advisers Act Summary Steps: Investment Adviser Registration D LLP. Steps to Registering as an RIA vestment Company Act of 1940, as amended (the “1940 Act”)) but for the exceptions to such status set forth in sections 3(c)(1) ... Read Here

Fitch Affirms DTF Tax-Free Income Inc. VMTP Shares At 'AAA'
Fitch Ratings affirms the 'AAA' ratings of the Variable Rate MuniFund Term Preferred Shares issued by DTF Tax-Free Income Inc. , a closed-end fund managed ... Read News

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 ... Fetch Content

Investment Company Act File No. 811-22461
Investment Company Act File No. 811-22461 SECURITIES AND EXCHANGE COMMISSION Washington, x REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940 Fee Table and Synopsis Summary of Fund's Expenses; ... Visit Document

Investment Management - K&L Gates
Investment Management 1 A “fund” refers to a registered investment company or a business development company, new Rules under the Investment Company Act of 1940 and the Investment Advisers Act of 1940 that require investment companies (“funds”) 1 and ... Read Here

Oversight Of Codes Of Ethics - Investment Company Institute
Executive Summary Investment company directors play a critical role in protecting the interests of Investment Company Act of 1940, The Advisory Group Report recommends that every investment company, in promulgating its code of ethics, ... Read Here

The Inadvertent Investment Company: Section 3(a)(3) Of The ...
Abuse of trust by officers or directors "in respect any registered investment company" for which they act. The corporation was not registered under the act during the period company under the Investment Company Act of 1940; in October 1955, however, the ... View Doc

Investment Company Act of 1940
Cated that it would not object to investment company use of sections 17(f) and 18(f) of the Investment Company Act of 1940 if Continental Option Income Plus Fund ("Fund") proceeds as described in your letter of June 12, 1985. ... Read Article

VII(c) IC - Investment Company Compliance
1 VII(c) IC ± Investment Company Compliance PANEL AGENDA David J. Thelander Promontory Financial Group MDQRM³7LWR´3RPEUD Matthews International Capital Management ... Content Retrieval

Recent Amendments To The Rule 206(4)-2 Under The Investment ...
The following is a summary of several of the key provisions of the amendments to the Custody Rule. Delivery of Client Account Statements: of the Investment Company Act of 1940 or any company that would be an investment company under section 3(a) ... Access Document

Investment Funds Description - GBOPHB
The Funds are not subject to registration, regulation, or reporting under the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, or Summary Prospectus – Short Term Investment Fund Revised: 04152015 3 Annual Fund Operating Expenses ... Access This Document

Investment Companies Audit And Accounting Guide Background ...
Definition of an Investment Company Action Items Summary of Implementation Issues February 22, entities are investment companies) Entities regulated under the 1940 Act Common (collective) ... Read More

Assessing The Adequacy And Effectiveness Of A Fund's ...
Assessing the ADeQUACY AnD effeCtiveness of A fUnD’s CompliAnCe poliCies AnD proCeDUres Introduction The Investment Company Institute has prepared this paper to assist chief compliance ... Get Document

Investment Adviser Code Of Ethics Rule - Shearman
Investment Adviser Code of Ethics Rule Introduction On May 26, 2004, under the Investment Company Act of 1940 (“1940 Act”). On July 2, 2004, 2 Final Release, Executive Summary. ... Read Content

Summary And Analysis Of The Volcker Rule In The Dodd-Frank ...
Summary and Analysis of the Volcker Rule in the Dodd-Frank Act o conducted in compliance with insurance company investment laws, or 4(c)(13) of the Bank Holding Company Act, unless the banking entity is directly or indirectly ... Get Content Here

Statutes, Rules, And Related Cases Investment Company Act Of ...
Investment Company Act of 1940 Exemptions: · 3c1 (100 Advisers Act of 1940 Investment Advis and 3) not adviser to registered investment company, OR Goldstein Funds are clients, not investors ... Get Document