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13 Μαΐ 2020 · Investment Company Act of 1940. This Act regulates the organization of companies, including mutual funds, that engage primarily in investing, reinvesting, and trading in securities, and whose own securities are offered to the investing public.
Rule 11a-3 Offers of exchange by open-end investment companies other than separate accounts ..... 166 Section 12. Functions and activities of investment companies ..... 169 Rule 12b-1 Distribution of shares by registered open-end management investment company ..... 175 (’40 Act) v DFIN
THE INVESTMENT COMPANY ACT OF 1940: dc.source.journaltitle: Yale Law Journal: refterms.dateFOA: ... Format: PDF. Download. This item appears in the following Collection(s) Yale Law Journal; entitlement. Show simple item record
To provide for the registration and regulation of investment companies and .R.10065] investment advisers, and for other purposes. [Public, No. 768] Be it enacted by the Senate and House of Representatives of the United States of America in Congress assembled, TITLE I-INVESTMENT COMPANIES FINDINGS AND DECLARATION OF POLICY SEC. 1.
This form shall be used for registration under the Securities Act of 1933 of the securities of all open-end management investment companies other than registered separate accounts of insurance companies.
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.
