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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.
Find the official text of the rules and regulations issued by the Securities and Exchange Commission under the Investment Company Act of 1940. The act regulates the formation, operation, and registration of investment companies and their advisers.
Compliance procedures and practices of certain investment companies. § 270.45a-1: Confidential treatment of names and addresses of dealers of registered investment company securities. § 270.55a-1: Investment activities of business development companies. § 270.57b-1: Exemption for downstream affiliates of business development companies ...
1 Ιουν 2021 · For purposes of Commission rulemaking in accordance with the provisions of Chapter Six of the Administrative Procedure Act (5 U.S.C. 601 et seq.) and unless otherwise defined for purposes of a particular rulemaking, the term small business or small organization for purposes of the Investment Company Act of 1940 shall mean an investment company ...
The primary law that governs investment companies is the Investment Company Act of 1940 (the “Investment Company Act”). The SEC has adopted various regulations under the Investment Company Act that further govern investment company operations.
24 Αυγ 2023 · Learn what the Investment Company Act of 1940 is, how it regulates investment companies and their products, and why it was passed after the 1929 Stock Market Crash. Find out how the Act defines an investment company, what are the requirements for registration, and what are the exemptions available.
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.
