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24 Αυγ 2023 · The Investment Company Act of 1940 is an act of Congress that regulates the formation of investment companies and their activities. The legislation in the Investment...
9 Ιουλ 2013 · Investment companies are regulated primarily under the Investment Company Act of 1940 and the rules and registration forms adopted under that Act. Investment companies are also subject to the Securities Act of 1933 and the Securities Exchange Act of 1934.
1 Σεπ 1996 · prev | next. (a) Definitions. (1) When used in this subchapter, “ investment company ” means any issuer which— (A) is or holds itself out as being engaged primarily, or proposes to engage primarily, in the business of investing, reinvesting, or trading in securities; (B)
31 Ιαν 2024 · The Investment Company Act of 1940 protects investors by regulating investment companies, requiring registration with the SEC, setting disclosure and governance standards, prohibiting fraudulent practices, and imposing investment strategy restrictions.
The Investment Company Act of 1940 (commonly referred to as the '40 Act) is an act of Congress which regulates investment funds. It was passed as a United States Public Law (Pub. L. 76–768) on August 22, 1940, and is codified at 15 U.S.C. §§ 80a-1–80a-64.
Section 3(a)(1)(A) of the 1940 Act defines “investment company” to mean “any issuer which is or holds itself out as being engaged primarily, or proposes to engage primarily, in the business of investing, reinvesting, or trading in securities.”
21 Αυγ 2024 · The Federal Investment Company Act of 1940, or the '40 Act, was passed by the Congress on August 22, 1940, to regulate investment companies and their investment offerings. It laid out many rules and regulations governing the incorporation and operations of investment companies in the United States.
