drjack.world
Google Keyword Rankings for : rule 17 investment company act
1
Final Rule: S7-25-95 - SEC.gov
https://www.sec.gov/rules/final/ia-1815.htm
Section 17(j) of the Investment Company Act prohibits any affiliated person of a rule 17j-1 organization from engaging in fraudulent trading activities that ...
→ Check Latest Keyword Rankings ←
https://www.sec.gov/rules/final/ia-1815.htm
Section 17(j) of the Investment Company Act prohibits any affiliated person of a rule 17j-1 organization from engaging in fraudulent trading activities that ...
→ Check Latest Keyword Rankings ←
2
17 CFR Part 270 -- Rules and Regulations, Investment ... - eCFR
https://www.ecfr.gov/current/title-17/chapter-II/part-270?toc=1
Exemption relating to certain joint enterprises or arrangements concerning payment for distribution of shares of a registered open-end management investment ...
→ Check Latest Keyword Rankings ←
https://www.ecfr.gov/current/title-17/chapter-II/part-270?toc=1
Exemption relating to certain joint enterprises or arrangements concerning payment for distribution of shares of a registered open-end management investment ...
→ Check Latest Keyword Rankings ←
3
Rules and regulations promulgated under the Investment ...
https://lawblogs.uc.edu/sld/the-deskbook-table-of-contents/the-securities-acts-statutory-law/the-investment-company-act-of-1940-15-usc-%C2%A7-80a-1-et-seq/rules-and-regulations-promulgated-under-the-investment-company-act-of-1940-17-cfr-part-270/
Rule 17a-7 — Exemption of certain purchase or sale transactions between an investment company and certain affiliated persons thereof. Rule 17a-8 — Mergers of ...
→ Check Latest Keyword Rankings ←
https://lawblogs.uc.edu/sld/the-deskbook-table-of-contents/the-securities-acts-statutory-law/the-investment-company-act-of-1940-15-usc-%C2%A7-80a-1-et-seq/rules-and-regulations-promulgated-under-the-investment-company-act-of-1940-17-cfr-part-270/
Rule 17a-7 — Exemption of certain purchase or sale transactions between an investment company and certain affiliated persons thereof. Rule 17a-8 — Mergers of ...
→ Check Latest Keyword Rankings ←
4
Transactions With Affiliates - K&L Gates
https://files.klgates.com/files/upload/2016im_dc_conference_presentations_sessionv.pdf
Investment Company Act.” ... Ownership is not defined in the 1940 Act. Ownership ... Section 17(d) and Rule 17d-1 prohibit first-tier and.
→ Check Latest Keyword Rankings ←
https://files.klgates.com/files/upload/2016im_dc_conference_presentations_sessionv.pdf
Investment Company Act.” ... Ownership is not defined in the 1940 Act. Ownership ... Section 17(d) and Rule 17d-1 prohibit first-tier and.
→ Check Latest Keyword Rankings ←
5
SEC Staff Issues No-Action Relief for Custody of Certain Loan ...
https://www.gtlaw.com/en/insights/2021/2/sec-staff-issues-no-action-relief-custody-certain-loan-interests-under-investment-company-act
Section 17(f) of the 1940 Act generally requires a registered investment company to maintain its securities and similar investments in the ...
→ Check Latest Keyword Rankings ←
https://www.gtlaw.com/en/insights/2021/2/sec-staff-issues-no-action-relief-custody-certain-loan-interests-under-investment-company-act
Section 17(f) of the 1940 Act generally requires a registered investment company to maintain its securities and similar investments in the ...
→ Check Latest Keyword Rankings ←
6
RULES AND REGULATIONS, INVESTMENT COMPANY ACT ...
https://dart.deloitte.com/USDART/home/accounting/sec/rules-regulations/270-rules-regulations-investment-company-act
› home › accounting › sec › 270-...
→ Check Latest Keyword Rankings ←
https://dart.deloitte.com/USDART/home/accounting/sec/rules-regulations/270-rules-regulations-investment-company-act
› home › accounting › sec › 270-...
→ Check Latest Keyword Rankings ←
7
Application of Section 17 of the Investment Company Act of ...
https://scholarship.law.upenn.edu/cgi/viewcontent.cgi?referer=&httpsredir=1&article=5272&context=penn_law_review
Co.,. SEC Investment Company Act Release No. 5675 (May 13, 1969) (exemption granted under rule 17d-1; impact upon other parties ignored), with Gould v. American.
→ Check Latest Keyword Rankings ←
https://scholarship.law.upenn.edu/cgi/viewcontent.cgi?referer=&httpsredir=1&article=5272&context=penn_law_review
Co.,. SEC Investment Company Act Release No. 5675 (May 13, 1969) (exemption granted under rule 17d-1; impact upon other parties ignored), with Gould v. American.
→ Check Latest Keyword Rankings ←
8
Federal Register/Vol. 85, No. 224/Thursday, November 19 ...
https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-23355.pdf
Act, and all references to rules under the. Investment Company Act are to title 17, part 270 of the Code of Federal Regulations [17 CFR part.
→ Check Latest Keyword Rankings ←
https://www.govinfo.gov/content/pkg/FR-2020-11-19/pdf/2020-23355.pdf
Act, and all references to rules under the. Investment Company Act are to title 17, part 270 of the Code of Federal Regulations [17 CFR part.
→ Check Latest Keyword Rankings ←
9
1983] - section 17 of the investment company act-an example ...
https://www.djcl.org/wp-content/uploads/2014/07/SECTION-17-OF-THE-INVESTMENT-COMPANY-ACT-AN-EXAMPLE-OF-REGULATION-BY-EXEMPTION.pdf
SECTION 17 OF THE INVESTMENT COMPANY ACT-AN. EXAMPLE OF REGULATION BY EXEMPTION. By JOSEPH W. BARTLETT* & STEPHEN P. DowDt. I. INTRODUCTION.
→ Check Latest Keyword Rankings ←
https://www.djcl.org/wp-content/uploads/2014/07/SECTION-17-OF-THE-INVESTMENT-COMPANY-ACT-AN-EXAMPLE-OF-REGULATION-BY-EXEMPTION.pdf
SECTION 17 OF THE INVESTMENT COMPANY ACT-AN. EXAMPLE OF REGULATION BY EXEMPTION. By JOSEPH W. BARTLETT* & STEPHEN P. DowDt. I. INTRODUCTION.
→ Check Latest Keyword Rankings ←
10
Codes of Ethics - Investment Company Institute
https://www.ici.org/pdf/bro_codesofethics.pdf
significantly, the SEC's Rule 17j-1, promulgated under Section 17(j) of the. Investment Company Act of 1940, requires that all investment companies and.
→ Check Latest Keyword Rankings ←
https://www.ici.org/pdf/bro_codesofethics.pdf
significantly, the SEC's Rule 17j-1, promulgated under Section 17(j) of the. Investment Company Act of 1940, requires that all investment companies and.
→ Check Latest Keyword Rankings ←
11
SEC Adopts New Rule for Fund of Fund Arrangements | Insights
https://www.skadden.com/insights/publications/2020/11/sec-adopts-new-rule-for-fund-of-fund-arrangements
The 1940 Act defines control to mean the power to exercise a controlling influence over the management or policies of a company, unless such ...
→ Check Latest Keyword Rankings ←
https://www.skadden.com/insights/publications/2020/11/sec-adopts-new-rule-for-fund-of-fund-arrangements
The 1940 Act defines control to mean the power to exercise a controlling influence over the management or policies of a company, unless such ...
→ Check Latest Keyword Rankings ←
12
Form 40-6B Goldman Sachs Group Inc - SEC Report
https://sec.report/Document/0000895345-21-000540/
Section 17(a) of the 1940 Act, among other things, generally prohibits certain persons affiliated with an investment company, acting as ...
→ Check Latest Keyword Rankings ←
https://sec.report/Document/0000895345-21-000540/
Section 17(a) of the 1940 Act, among other things, generally prohibits certain persons affiliated with an investment company, acting as ...
→ Check Latest Keyword Rankings ←
13
SEC Adopts Amendments Updating the 'Fund of Funds ...
https://www.kramerlevin.com/en/perspectives-search/sec-adopts-amendments-updating-the-fund-of-funds-regulatory-framework-for-registered-investment-companies-and-business-development-companies.html
The new rule will also provide an exemption from the prohibition in Section 17(a) of the 1940 Act on certain affiliated transactions.
→ Check Latest Keyword Rankings ←
https://www.kramerlevin.com/en/perspectives-search/sec-adopts-amendments-updating-the-fund-of-funds-regulatory-framework-for-registered-investment-companies-and-business-development-companies.html
The new rule will also provide an exemption from the prohibition in Section 17(a) of the 1940 Act on certain affiliated transactions.
→ Check Latest Keyword Rankings ←
14
Investment Company Act of 1940; Order Under Sections 6(c ...
https://www.federalregister.gov/documents/2020/03/27/2020-06392/investment-company-act-of-1940-order-under-sections-6c-12d1j-17b-17d-and-38a-of-the-investment
... Company Act of 1940; Order Under Sections 6(c), 12(d)(1)(J), 17(b), 17(d) and 38(a) of the Investment Company Act of 1940 and Rule 17d-1 ...
→ Check Latest Keyword Rankings ←
https://www.federalregister.gov/documents/2020/03/27/2020-06392/investment-company-act-of-1940-order-under-sections-6c-12d1j-17b-17d-and-38a-of-the-investment
... Company Act of 1940; Order Under Sections 6(c), 12(d)(1)(J), 17(b), 17(d) and 38(a) of the Investment Company Act of 1940 and Rule 17d-1 ...
→ Check Latest Keyword Rankings ←
15
tions, investment company act of 1940 - Loc
https://tile.loc.gov/storage-services/service/ll/cfr/cf/r1/96/40/20/-T/17/CI/IP/27/0/cfr1964020-T17CIIP270/cfr1964020-T17CIIP270.pdf
Title 17--Commodity and Securities Exchanges. PART 270-RULES AND REGULA-. TIONS, INVESTMENT COMPANY. ACT OF 1940. Sec. 270.0-1. Definition of terms used in ...
→ Check Latest Keyword Rankings ←
https://tile.loc.gov/storage-services/service/ll/cfr/cf/r1/96/40/20/-T/17/CI/IP/27/0/cfr1964020-T17CIIP270/cfr1964020-T17CIIP270.pdf
Title 17--Commodity and Securities Exchanges. PART 270-RULES AND REGULA-. TIONS, INVESTMENT COMPANY. ACT OF 1940. Sec. 270.0-1. Definition of terms used in ...
→ Check Latest Keyword Rankings ←
16
SEC Expands Availability of Exempt Affiliated Transactions ...
https://www.mayerbrown.com/en/perspectives-events/publications/2020/03/sec-expands-availability-of-exempt-affiliated-transactions-with-certain-registered-open-end-investment-companies
The relief is needed because Section 17(a) of the Investment Company Act of 1940 (the “1940 Act”) prohibits affiliates of registered funds, and ...
→ Check Latest Keyword Rankings ←
https://www.mayerbrown.com/en/perspectives-events/publications/2020/03/sec-expands-availability-of-exempt-affiliated-transactions-with-certain-registered-open-end-investment-companies
The relief is needed because Section 17(a) of the Investment Company Act of 1940 (the “1940 Act”) prohibits affiliates of registered funds, and ...
→ Check Latest Keyword Rankings ←
17
Proposed Regulations
https://www.sec.state.ma.us/sct/sctnewregs_11_11/Proposed_Regulations_11_11.pdf
the Investment Company Act of 1940, 15 U.S.C. 80a. ... venture capital fund in SEC Rule 203(l)-1, 17 C.F.R. § 275.203(l)-1. 2. Exemption for private fund ...
→ Check Latest Keyword Rankings ←
https://www.sec.state.ma.us/sct/sctnewregs_11_11/Proposed_Regulations_11_11.pdf
the Investment Company Act of 1940, 15 U.S.C. 80a. ... venture capital fund in SEC Rule 203(l)-1, 17 C.F.R. § 275.203(l)-1. 2. Exemption for private fund ...
→ Check Latest Keyword Rankings ←
18
Bank as Investment Advisor - FDIC: Trust Examination Manual
https://www.fdic.gov/regulations/examinations/trustmanual/appendix_d/appendix_d.html
Banks are exempt from definition of investment company for the Act (§ 3(c)(3)). Investment Advisers Act of 1940 : To provide for the registration and regulation ...
→ Check Latest Keyword Rankings ←
https://www.fdic.gov/regulations/examinations/trustmanual/appendix_d/appendix_d.html
Banks are exempt from definition of investment company for the Act (§ 3(c)(3)). Investment Advisers Act of 1940 : To provide for the registration and regulation ...
→ Check Latest Keyword Rankings ←
19
Investment Management Regulatory Update - November 2017
https://www.davispolk.com/sites/default/files/2017-11-28_investment_management_regulatory_update_november_2017.pdf
SEC Denies No-Action Relief Under Section 17(d) and Rule 17d-1 of the Investment Company. Act in Connection with Expense Allocation Between ...
→ Check Latest Keyword Rankings ←
https://www.davispolk.com/sites/default/files/2017-11-28_investment_management_regulatory_update_november_2017.pdf
SEC Denies No-Action Relief Under Section 17(d) and Rule 17d-1 of the Investment Company. Act in Connection with Expense Allocation Between ...
→ Check Latest Keyword Rankings ←
20
The Investment Lawyer - Ropes & Gray LLP
https://www.ropesgray.com/-/media/files/articles/2019/04/april-2019---the-investment-lawyer.pdf
abundantly clear that, prior to the 1940 Act's enact- ment, “investment trusts,” as they were then ... Rule 17a-7 permits certain fund affiliates, subject.
→ Check Latest Keyword Rankings ←
https://www.ropesgray.com/-/media/files/articles/2019/04/april-2019---the-investment-lawyer.pdf
abundantly clear that, prior to the 1940 Act's enact- ment, “investment trusts,” as they were then ... Rule 17a-7 permits certain fund affiliates, subject.
→ Check Latest Keyword Rankings ←
21
Rule 17j-1 (17 CFR 270.17j-1) under the Investment Company ...
https://omb.report/omb/3235-0224
Rule 17j-1 requires investment companies and their investment advisers and principal underwriters to establish codes of ethics to prevent affiliated persons ...
→ Check Latest Keyword Rankings ←
https://omb.report/omb/3235-0224
Rule 17j-1 requires investment companies and their investment advisers and principal underwriters to establish codes of ethics to prevent affiliated persons ...
→ Check Latest Keyword Rankings ←
22
SEC Allows Affiliated Purchases of Debt Securities From ...
https://www.troutman.com/insights/sec-allows-affiliated-purchases-of-debt-securities-from-registered-open-end-investment-companies.html
Rule 17a-9 provides an exemption from the prohibitions under section 17(a) of the 1940 Act to permit affiliated persons of a money market fund ( ...
→ Check Latest Keyword Rankings ←
https://www.troutman.com/insights/sec-allows-affiliated-purchases-of-debt-securities-from-registered-open-end-investment-companies.html
Rule 17a-9 provides an exemption from the prohibitions under section 17(a) of the 1940 Act to permit affiliated persons of a money market fund ( ...
→ Check Latest Keyword Rankings ←
23
sec adopts final rules on compliance programs for investment
https://www.willkie.com/~/media/Files/Publications/2004/01/%20SEC%20Adopts%20Final%20Rules%20on%20Compliance%20Programs%20fo__/Files/FinalRulesComplianceProgramspdf/FileAttachment/Final_Rules_Compliance_Programs.pdf
IA-2204 (December 17, 2003) (the “Adopting Release”). ... Under new rule 38a-1 of the Investment Company Act of 1940, as amended (the “1940 Act”),.
→ Check Latest Keyword Rankings ←
https://www.willkie.com/~/media/Files/Publications/2004/01/%20SEC%20Adopts%20Final%20Rules%20on%20Compliance%20Programs%20fo__/Files/FinalRulesComplianceProgramspdf/FileAttachment/Final_Rules_Compliance_Programs.pdf
IA-2204 (December 17, 2003) (the “Adopting Release”). ... Under new rule 38a-1 of the Investment Company Act of 1940, as amended (the “1940 Act”),.
→ Check Latest Keyword Rankings ←
24
The Investment Company Act of 1940 17 - YouTube
https://www.youtube.com/watch?v=jB1vICevpis
SEC Historical Society
→ Check Latest Keyword Rankings ←
https://www.youtube.com/watch?v=jB1vICevpis
SEC Historical Society
→ Check Latest Keyword Rankings ←
25
Section 202 - Definitions - 40act.com
https://40act.com/laws-rules/investment-advisers-act-of-1940-statute/section-202-definitions/
... in the Bank Holding Company Act of 1956, which is not an investment company, ... (G) any family office, as defined by rule, regulation, or order of the ...
→ Check Latest Keyword Rankings ←
https://40act.com/laws-rules/investment-advisers-act-of-1940-statute/section-202-definitions/
... in the Bank Holding Company Act of 1956, which is not an investment company, ... (G) any family office, as defined by rule, regulation, or order of the ...
→ Check Latest Keyword Rankings ←
26
Securities and Exchange Commission Proposes Amendments ...
https://www.velaw.com/insights/securities-and-exchange-commission-proposes-amendments-to-investment-advisers-act-regarding-esg-disclosures/
Investment Advisers Act, § 204A. 16SEC Rule 204A-1, 17 C.F.R. § 275.204A-1. 17SEC Rule 204- ...
→ Check Latest Keyword Rankings ←
https://www.velaw.com/insights/securities-and-exchange-commission-proposes-amendments-to-investment-advisers-act-regarding-esg-disclosures/
Investment Advisers Act, § 204A. 16SEC Rule 204A-1, 17 C.F.R. § 275.204A-1. 17SEC Rule 204- ...
→ Check Latest Keyword Rankings ←
27
15 USC Ch. 2D: INVESTMENT COMPANIES AND ADVISERS
https://uscode.house.gov/view.xhtml?path=/prelim@title15/chapter2D&edition=prelim
Rule of construction relating to the Commodities Exchange Act. ... (17) "Insurance company" means a company which is organized as an insurance company, ...
→ Check Latest Keyword Rankings ←
https://uscode.house.gov/view.xhtml?path=/prelim@title15/chapter2D&edition=prelim
Rule of construction relating to the Commodities Exchange Act. ... (17) "Insurance company" means a company which is organized as an insurance company, ...
→ Check Latest Keyword Rankings ←
28
Comments on Investment Company Act Cross-Trading Rule ...
https://investmentadviser.org/resources/comments-on-division-of-investment-management-staff-statement-on-investment-company-cross-trading-rule-17a-7/
The SEC amend Rule 17a-7 to permit cross trades of Level 2 securities and modernize the methods by which a fund can obtain an “independent ...
→ Check Latest Keyword Rankings ←
https://investmentadviser.org/resources/comments-on-division-of-investment-management-staff-statement-on-investment-company-cross-trading-rule-17a-7/
The SEC amend Rule 17a-7 to permit cross trades of Level 2 securities and modernize the methods by which a fund can obtain an “independent ...
→ Check Latest Keyword Rankings ←
29
SEC Staff Asks for Comments on Ways to Enhance Rules on ...
https://tax.thomsonreuters.com/news/sec-staff-asks-for-comments-on-ways-to-enhance-rules-on-investment-company-cross-trading/
Rule 17a-7 of the Investment Company Act of 1940 allows cross trades under certain protective conditions. This means that transactions ...
→ Check Latest Keyword Rankings ←
https://tax.thomsonreuters.com/news/sec-staff-asks-for-comments-on-ways-to-enhance-rules-on-investment-company-cross-trading/
Rule 17a-7 of the Investment Company Act of 1940 allows cross trades under certain protective conditions. This means that transactions ...
→ Check Latest Keyword Rankings ←
30
Researching the Federal Securities Laws Through the SEC ...
https://www.investor.gov/introduction-investing/investing-basics/role-sec/researching-federal-securities-laws-through-sec
This is because while the federal statutes and the SEC rules and regulations ... 17 CFR, part 275 - Investment Advisers Act of 1940; 17 CFR, ...
→ Check Latest Keyword Rankings ←
https://www.investor.gov/introduction-investing/investing-basics/role-sec/researching-federal-securities-laws-through-sec
This is because while the federal statutes and the SEC rules and regulations ... 17 CFR, part 275 - Investment Advisers Act of 1940; 17 CFR, ...
→ Check Latest Keyword Rankings ←
31
Investment Services Regulatory Update - Vedder Price
https://www.vedderprice.com/-/media/files/vedder-thinking/publications/2016/05/investment-services-regulatory-update/files/investment-services-regulatory-update--may-2016/fileattachment/investment-services-regulatory-update--may-2016.pdf
Fund transactions, the Fund will also comply with the provisions of section 17(e) of the 1940 Act and rule 17e-1 thereunder. The Fund contended, and the SEC ...
→ Check Latest Keyword Rankings ←
https://www.vedderprice.com/-/media/files/vedder-thinking/publications/2016/05/investment-services-regulatory-update/files/investment-services-regulatory-update--may-2016/fileattachment/investment-services-regulatory-update--may-2016.pdf
Fund transactions, the Fund will also comply with the provisions of section 17(e) of the 1940 Act and rule 17e-1 thereunder. The Fund contended, and the SEC ...
→ Check Latest Keyword Rankings ←
32
17 CFR §271 Interpretative Releases Relating To The ...
https://ecfr.io/Title-17/Part-271
› Title-17 › Part-271
→ Check Latest Keyword Rankings ←
https://ecfr.io/Title-17/Part-271
› Title-17 › Part-271
→ Check Latest Keyword Rankings ←
33
SEC Regulation of Investment Company Investments in ...
https://digitalcommons.law.villanova.edu/cgi/viewcontent.cgi?article=1011&context=vjlim
(hereinafter Investment Company Act Release No. 19,716). 5 17 C.F.R. § 270.12d3-1 (1999). 6 See Interests in Firms Engaged in Business as Brokers, Dealers,.
→ Check Latest Keyword Rankings ←
https://digitalcommons.law.villanova.edu/cgi/viewcontent.cgi?article=1011&context=vjlim
(hereinafter Investment Company Act Release No. 19,716). 5 17 C.F.R. § 270.12d3-1 (1999). 6 See Interests in Firms Engaged in Business as Brokers, Dealers,.
→ Check Latest Keyword Rankings ←
34
How US-Registered Investment Companies Operate and the ...
https://www.icifactbook.org/us-reg-funds-principles.pdf
securities laws, including Rule 2a‑7 under the Investment Company Act. That ... CORE PRINCIPLES UNDERLYING THE REGULATION OF US INVESTMENT COMPANIES // 17.
→ Check Latest Keyword Rankings ←
https://www.icifactbook.org/us-reg-funds-principles.pdf
securities laws, including Rule 2a‑7 under the Investment Company Act. That ... CORE PRINCIPLES UNDERLYING THE REGULATION OF US INVESTMENT COMPANIES // 17.
→ Check Latest Keyword Rankings ←
35
Potential Rulemaking to Rule 17a-7 as it Relates to Cross ...
https://www.sifma.org/resources/submissions/potential-rulemaking-to-rule-17a-7-as-it-relates-to-cross-trading/
SIFMA AMG provided comments to the SEC on potential rulemaking related to Rule 17a-7 under the Investment Company Act of 1940, as amended ...
→ Check Latest Keyword Rankings ←
https://www.sifma.org/resources/submissions/potential-rulemaking-to-rule-17a-7-as-it-relates-to-cross-trading/
SIFMA AMG provided comments to the SEC on potential rulemaking related to Rule 17a-7 under the Investment Company Act of 1940, as amended ...
→ Check Latest Keyword Rankings ←
36
SEC Settles Charges Against Investment Adviser for Unlawful ...
https://www.sewkis.com/publications/sec-settles-charges-against-investment-adviser-for-unlawful-cross-trades/
... the Adviser violated Sections 17(a)(1) and 17(a)(2) of the Investment Company Act of 1940, as amended (ICA), and Rule 38a-1 thereunder, ...
→ Check Latest Keyword Rankings ←
https://www.sewkis.com/publications/sec-settles-charges-against-investment-adviser-for-unlawful-cross-trades/
... the Adviser violated Sections 17(a)(1) and 17(a)(2) of the Investment Company Act of 1940, as amended (ICA), and Rule 38a-1 thereunder, ...
→ Check Latest Keyword Rankings ←
37
COMPLIANCE CORNER - Schulte Roth & Zabel LLP
https://www.srz.com/images/content/1/5/v2/152181/Compliance-Corner-Considerations-for-Private-Fund-Managers-in-Su.pdf
under the Investment Company Act of 1940 (the “1940 Act”) have ... Rule 38a-1 under the 1940 Act requires that mutual ... Section 17(a) and Rule 17d-1) that.
→ Check Latest Keyword Rankings ←
https://www.srz.com/images/content/1/5/v2/152181/Compliance-Corner-Considerations-for-Private-Fund-Managers-in-Su.pdf
under the Investment Company Act of 1940 (the “1940 Act”) have ... Rule 38a-1 under the 1940 Act requires that mutual ... Section 17(a) and Rule 17d-1) that.
→ Check Latest Keyword Rankings ←
38
Rule 17j-1 Definition | Law Insider
https://www.lawinsider.com/dictionary/rule-17j-1
Rule 17j-1 means Rule 17j-1 promulgated under the Act. ... Rule 17j-1 means Rule 17j-1 under the Investment Company Act of 1940, as amended. ... Rule 17j-1 means ...
→ Check Latest Keyword Rankings ←
https://www.lawinsider.com/dictionary/rule-17j-1
Rule 17j-1 means Rule 17j-1 promulgated under the Act. ... Rule 17j-1 means Rule 17j-1 under the Investment Company Act of 1940, as amended. ... Rule 17j-1 means ...
→ Check Latest Keyword Rankings ←
39
Investment Adviser Marketing - Regulations.gov
https://www.regulations.gov/document/SEC-2021-0317-0001
80b-1 et seq.], (1) and amendments to 17 CFR 279.1 (Form ADV) under the Advisers Act. The Commission is rescinding 17 CFR 275.206(4)-3 (rule 206 ...
→ Check Latest Keyword Rankings ←
https://www.regulations.gov/document/SEC-2021-0317-0001
80b-1 et seq.], (1) and amendments to 17 CFR 279.1 (Form ADV) under the Advisers Act. The Commission is rescinding 17 CFR 275.206(4)-3 (rule 206 ...
→ Check Latest Keyword Rankings ←
40
Registered Funds Alert - Simpson Thacher & Bartlett LLP
https://www.stblaw.com/docs/default-source/Publications/registeredfundsalert_october2018.pdf
Century of Investment Company Regulation (May 1992) (the “1992. Report”). ... action under Section 17 or 57 of the 1940 Act if registered funds co-invest in ...
→ Check Latest Keyword Rankings ←
https://www.stblaw.com/docs/default-source/Publications/registeredfundsalert_october2018.pdf
Century of Investment Company Regulation (May 1992) (the “1992. Report”). ... action under Section 17 or 57 of the 1940 Act if registered funds co-invest in ...
→ Check Latest Keyword Rankings ←
41
Subject 590-4-4. INVESTMENT ADVISERS AND ... - GA - GAC
https://rules.sos.ga.gov/gac/590-4-4
All records required by SEC Rule 204-2(a)(16) promulgated under the Investment Advisers Act of 1940 including, but not limited to, electronic media that the ...
→ Check Latest Keyword Rankings ←
https://rules.sos.ga.gov/gac/590-4-4
All records required by SEC Rule 204-2(a)(16) promulgated under the Investment Advisers Act of 1940 including, but not limited to, electronic media that the ...
→ Check Latest Keyword Rankings ←
42
Investment Company Act of 1940 - Section 17(e)
https://www.lexissecuritiesmosaic.com/gateway/sec/no-action-letters-test/russell-investment-management-17e-121616.htm
[1] Section 2(a)(3) of the 1940 Act provides that an “affiliated person” of another person means, among other things, any person directly or ...
→ Check Latest Keyword Rankings ←
https://www.lexissecuritiesmosaic.com/gateway/sec/no-action-letters-test/russell-investment-management-17e-121616.htm
[1] Section 2(a)(3) of the 1940 Act provides that an “affiliated person” of another person means, among other things, any person directly or ...
→ Check Latest Keyword Rankings ←
43
A Historical Analysis of the Investment Company Act of 1940
https://repository.law.umich.edu/cgi/viewcontent.cgi?article=1114&context=mbelr
2, 2004) (codified at 17 C.F.R. § 270.01). Funds seeking to rely on the Exemptive Rules must also abide by Rule 0-1, which seeks to “provide for greater ...
→ Check Latest Keyword Rankings ←
https://repository.law.umich.edu/cgi/viewcontent.cgi?article=1114&context=mbelr
2, 2004) (codified at 17 C.F.R. § 270.01). Funds seeking to rely on the Exemptive Rules must also abide by Rule 0-1, which seeks to “provide for greater ...
→ Check Latest Keyword Rankings ←
44
Codes of Ethics for Investment Companies - JSTOR
https://www.jstor.org/stable/4478432
nounced adoption of Rule 17j-1 under the Investment Company Act of 1940. Among other things, this new rule re- ... tion 17(a) of the Securities Act of 1933.
→ Check Latest Keyword Rankings ←
https://www.jstor.org/stable/4478432
nounced adoption of Rule 17j-1 under the Investment Company Act of 1940. Among other things, this new rule re- ... tion 17(a) of the Securities Act of 1933.
→ Check Latest Keyword Rankings ←
45
SEC Adopts New Rule for Fund of Funds Arrangements
https://www.paulhastings.com/insights/client-alerts/sec-adopts-new-rule-for-fund-of-funds-arrangements
The Final Rule will also provide an exemption from the prohibition in Section 17(a) of the 1940 Act on certain affiliated transactions.
→ Check Latest Keyword Rankings ←
https://www.paulhastings.com/insights/client-alerts/sec-adopts-new-rule-for-fund-of-funds-arrangements
The Final Rule will also provide an exemption from the prohibition in Section 17(a) of the 1940 Act on certain affiliated transactions.
→ Check Latest Keyword Rankings ←
46
04_Modern-Compliance_Vol II_17_Gedrich-Roeber.indd
https://www.stradley.com/-/media/files/publications/2017/10/04_moderncompliance_vol-ii_17_gedrichroeber.pdf
Unless otherwise indicated, all section and rule references herein are to the 1940 Act. 2. The Investment Advisers Act of 1940 (Advisers Act) is the primary ...
→ Check Latest Keyword Rankings ←
https://www.stradley.com/-/media/files/publications/2017/10/04_moderncompliance_vol-ii_17_gedrichroeber.pdf
Unless otherwise indicated, all section and rule references herein are to the 1940 Act. 2. The Investment Advisers Act of 1940 (Advisers Act) is the primary ...
→ Check Latest Keyword Rankings ←
47
LoS: 17 CFR - National Archives |
https://www.archives.gov/federal-register/cfr/subject-title-17.html
17 CFR Part 276_Interpretative releases relating to the Investment Advisers Act of 1940 and general rules and regulations thereunder. Securities; 17 CFR Part ...
→ Check Latest Keyword Rankings ←
https://www.archives.gov/federal-register/cfr/subject-title-17.html
17 CFR Part 276_Interpretative releases relating to the Investment Advisers Act of 1940 and general rules and regulations thereunder. Securities; 17 CFR Part ...
→ Check Latest Keyword Rankings ←
48
SPACs are Not Investment Companies | White & Case LLP
https://www.whitecase.com/insight-alert/spacs-are-not-investment-companies
On August 17, 2021, a purported shareholder of Pershing Square Tontine ... "investment company," as defined in the Investment Company Act of ...
→ Check Latest Keyword Rankings ←
https://www.whitecase.com/insight-alert/spacs-are-not-investment-companies
On August 17, 2021, a purported shareholder of Pershing Square Tontine ... "investment company," as defined in the Investment Company Act of ...
→ Check Latest Keyword Rankings ←
49
The Investment Lawyer - Perkins Coie
https://www.perkinscoie.com/images/content/2/1/v3/217112/Involuntary-Termination-of-Investment.pdf
Company Act of 1940 is Section 15. The ... looted investment advisers by selling legitimate ... 17(d) and Rule 17d-1, the independent directors.
→ Check Latest Keyword Rankings ←
https://www.perkinscoie.com/images/content/2/1/v3/217112/Involuntary-Termination-of-Investment.pdf
Company Act of 1940 is Section 15. The ... looted investment advisers by selling legitimate ... 17(d) and Rule 17d-1, the independent directors.
→ Check Latest Keyword Rankings ←
50
SEC adopts rule requiring investment adviser codes of ethics
https://www.dechert.com/knowledge/onpoint/2004/7/sec-adopts-rule-requiring-investment-adviser-codes-of-ethics.html
Advisers to registered investment companies are subject to Rule 17j-1 under the 1940 Act, which regulates the personal investment activities of the fund's ...
→ Check Latest Keyword Rankings ←
https://www.dechert.com/knowledge/onpoint/2004/7/sec-adopts-rule-requiring-investment-adviser-codes-of-ethics.html
Advisers to registered investment companies are subject to Rule 17j-1 under the 1940 Act, which regulates the personal investment activities of the fund's ...
→ Check Latest Keyword Rankings ←
51
SEC Announces First Action for Investment Company Act ...
https://www.omm.com/resources/alerts-and-publications/alerts/crypto-enforcement-sec-announces-first-action-for-investment-company-act-violation/
... violated Section 17(a)(2) of the Securities Act and Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder.
→ Check Latest Keyword Rankings ←
https://www.omm.com/resources/alerts-and-publications/alerts/crypto-enforcement-sec-announces-first-action-for-investment-company-act-violation/
... violated Section 17(a)(2) of the Securities Act and Section 206(4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder.
→ Check Latest Keyword Rankings ←
52
Chapter 78C - North Carolina General Assembly
https://www.ncleg.gov/EnactedLegislation/Statutes/HTML/ByChapter/Chapter_78C.html
k. Any person excepted from the definition of investment adviser under the Investment Advisers Act of 1940 or any rule or regulation promulgated under that act.
→ Check Latest Keyword Rankings ←
https://www.ncleg.gov/EnactedLegislation/Statutes/HTML/ByChapter/Chapter_78C.html
k. Any person excepted from the definition of investment adviser under the Investment Advisers Act of 1940 or any rule or regulation promulgated under that act.
→ Check Latest Keyword Rankings ←
53
Investment Adviser Code of Ethics Rule - Shearman & Sterling
https://www.shearman.com/~/media/Files/NewsInsights/Publications/2004/08/Investment-Adviser-Code-of-Ethics-Rule/Files/Download-PDF-Investment-Adviser-Code-of-Ethics-R__/FileAttachment/am_080604.pdf
reports.10. This provision is modeled on Rule 17j-1 under the 1940 Act, which requires investment companies to have procedures in place to prevent their.
→ Check Latest Keyword Rankings ←
https://www.shearman.com/~/media/Files/NewsInsights/Publications/2004/08/Investment-Adviser-Code-of-Ethics-Rule/Files/Download-PDF-Investment-Adviser-Code-of-Ethics-R__/FileAttachment/am_080604.pdf
reports.10. This provision is modeled on Rule 17j-1 under the 1940 Act, which requires investment companies to have procedures in place to prevent their.
→ Check Latest Keyword Rankings ←
54
FAQs for Investment Advisers and their Representatives
https://www.ssb.texas.gov/securities-professionals/dealer-adviser-registration/getting-started-registered-investment-adviser-3
See Investment Advisers Act of 1940, Section 203A(a)(2), SEC Rule 203A-3 (17 CFR §275.203A-3), and FAQ's 1.A.3 and 1.A.4 for definitions of these terms.
→ Check Latest Keyword Rankings ←
https://www.ssb.texas.gov/securities-professionals/dealer-adviser-registration/getting-started-registered-investment-adviser-3
See Investment Advisers Act of 1940, Section 203A(a)(2), SEC Rule 203A-3 (17 CFR §275.203A-3), and FAQ's 1.A.3 and 1.A.4 for definitions of these terms.
→ Check Latest Keyword Rankings ←
55
SEC Proposes Amendments to Exemptive Applications ...
https://www.sullcrom.com/files/upload/SC-Publication-SEC-Proposes-Amendments-to-Exemptive-Applications-Procedures.pdf
to amend Rule 0-5 under the Investment Company Act of 1940 (“Investment ... Proposed rule 17 C.F.R. 202.13 would set an internal timeframe.
→ Check Latest Keyword Rankings ←
https://www.sullcrom.com/files/upload/SC-Publication-SEC-Proposes-Amendments-to-Exemptive-Applications-Procedures.pdf
to amend Rule 0-5 under the Investment Company Act of 1940 (“Investment ... Proposed rule 17 C.F.R. 202.13 would set an internal timeframe.
→ Check Latest Keyword Rankings ←
56
Identifying Downstream Affiliates under the Investment ...
https://papers.ssrn.com/sol3/Delivery.cfm/SSRN_ID1425129_code796092.pdf?abstractid=1425129&mirid=1
The affiliated transaction provisions of the Investment Company Act of 1940 ... 1, Rule 17a-6 would permit the Issuer to sell its.
→ Check Latest Keyword Rankings ←
https://papers.ssrn.com/sol3/Delivery.cfm/SSRN_ID1425129_code796092.pdf?abstractid=1425129&mirid=1
The affiliated transaction provisions of the Investment Company Act of 1940 ... 1, Rule 17a-6 would permit the Issuer to sell its.
→ Check Latest Keyword Rankings ←
57
SEC Proposes Series of Rules Affecting Private Fund Advisers
https://www.paulweiss.com/practices/transactional/investment-management/publications/sec-proposes-series-of-rules-affecting-private-fund-advisers?id=42369
... Rules”) under the Investment Advisers Act of 1940 (“Advisers Act”). ... “Liquid Funds”[17] (typically, hedge funds) – the following ...
→ Check Latest Keyword Rankings ←
https://www.paulweiss.com/practices/transactional/investment-management/publications/sec-proposes-series-of-rules-affecting-private-fund-advisers?id=42369
... Rules”) under the Investment Advisers Act of 1940 (“Advisers Act”). ... “Liquid Funds”[17] (typically, hedge funds) – the following ...
→ Check Latest Keyword Rankings ←
58
The Investment Lawyer - Godfrey & Kahn S.C.
https://www.gklaw.com/Godfrey-Kahn/Full-PDFs/FiduciaryDutiesofDirectorsofRegisteredt.pdf
adopted a fiduciary rule under the Employee ... the Investment Company Act of 1940 (1940 Act or ... requirements of Rule 17d-1(d)(7) under the 1940 Act.
→ Check Latest Keyword Rankings ←
https://www.gklaw.com/Godfrey-Kahn/Full-PDFs/FiduciaryDutiesofDirectorsofRegisteredt.pdf
adopted a fiduciary rule under the Employee ... the Investment Company Act of 1940 (1940 Act or ... requirements of Rule 17d-1(d)(7) under the 1940 Act.
→ Check Latest Keyword Rankings ←
59
SEC Proposes 2 ESG Investment Rules -- comments invited ...
https://www.aeaweb.org/forum/2629/sec-proposes-2-esg-investment-rules-comments-invited-by-8-16
The Names Rule currently requires registered investment companies whose names suggest a focus in a particular type of investment (among other ...
→ Check Latest Keyword Rankings ←
https://www.aeaweb.org/forum/2629/sec-proposes-2-esg-investment-rules-comments-invited-by-8-16
The Names Rule currently requires registered investment companies whose names suggest a focus in a particular type of investment (among other ...
→ Check Latest Keyword Rankings ←
60
Section 22(d) of the Investment Company Act of 1940—Its ...
https://scholarship.law.duke.edu/cgi/viewcontent.cgi?article=2457&context=dlj
suant to SEC rule 22d-1 under the 1940 Act,' to have a "scale" of ... 17. Investment Trust Study 855-75. References to "insiders" include officials and.
→ Check Latest Keyword Rankings ←
https://scholarship.law.duke.edu/cgi/viewcontent.cgi?article=2457&context=dlj
suant to SEC rule 22d-1 under the 1940 Act,' to have a "scale" of ... 17. Investment Trust Study 855-75. References to "insiders" include officials and.
→ Check Latest Keyword Rankings ←
61
SEC Provides Interfund Lending Relief to Registered ...
https://www.mofo.com/resources/insights/200330-additional-sec-relief-registered-investment-companies
Section 17(d) of the 1940 Act, and Rule 17d-1 thereunder, generally prohibit joint transactions between Funds and their affiliated persons.
→ Check Latest Keyword Rankings ←
https://www.mofo.com/resources/insights/200330-additional-sec-relief-registered-investment-companies
Section 17(d) of the 1940 Act, and Rule 17d-1 thereunder, generally prohibit joint transactions between Funds and their affiliated persons.
→ Check Latest Keyword Rankings ←
62
SEC Form N-17f-2 - Investopedia
https://www.investopedia.com/terms/s/sec-form-n-17f-2.asp
It is required by Rule 17f-2 under the Investment Company Act of 1940. The purpose of this form is for the SEC to ensure that the certificate is properly ...
→ Check Latest Keyword Rankings ←
https://www.investopedia.com/terms/s/sec-form-n-17f-2.asp
It is required by Rule 17f-2 under the Investment Company Act of 1940. The purpose of this form is for the SEC to ensure that the certificate is properly ...
→ Check Latest Keyword Rankings ←
63
SEC Proposes Additional ESG Disclosure Requirements for ...
https://katten.com/sec-proposes-additional-esg-disclosure-requirements-for-regulated-funds-and-related-expansion-of-investment-company-act-names-rule
At the same meeting, the SEC also proposed amendments to Rule 35d-1 under the Investment Company Act of 1940, as amended (the Names Rule). The ...
→ Check Latest Keyword Rankings ←
https://katten.com/sec-proposes-additional-esg-disclosure-requirements-for-regulated-funds-and-related-expansion-of-investment-company-act-names-rule
At the same meeting, the SEC also proposed amendments to Rule 35d-1 under the Investment Company Act of 1940, as amended (the Names Rule). The ...
→ Check Latest Keyword Rankings ←
64
Securities and Exchange Commission: Rules Implementing ...
https://www.gao.gov/products/gao-11-862r
GAO found that (1) the final rule and rule amendments are adopted under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Wall ...
→ Check Latest Keyword Rankings ←
https://www.gao.gov/products/gao-11-862r
GAO found that (1) the final rule and rule amendments are adopted under the Investment Advisers Act of 1940 to implement provisions of the Dodd-Frank Wall ...
→ Check Latest Keyword Rankings ←
65
Codified Law 58-27-17 | South Dakota Legislature
https://sdlegislature.gov/Statutes/Codified_Laws/2075925
58-27-17. ... investment company or investment trust fund registered under the Investment Company Act of 1940, as adopted by the director pursuant to rules ...
→ Check Latest Keyword Rankings ←
https://sdlegislature.gov/Statutes/Codified_Laws/2075925
58-27-17. ... investment company or investment trust fund registered under the Investment Company Act of 1940, as adopted by the director pursuant to rules ...
→ Check Latest Keyword Rankings ←
66
US Investment Company Corporate Governance Outline ...
https://www.wilmerhale.com/-/media/62a878c4a31248dbb0db33544523d1ea.pdf
6 The rules under the Investment Company Act of 1940 (the "1940 Act") are: Rule ... adviser); Rule 17a-8 (permitting mergers between certain affiliated ...
→ Check Latest Keyword Rankings ←
https://www.wilmerhale.com/-/media/62a878c4a31248dbb0db33544523d1ea.pdf
6 The rules under the Investment Company Act of 1940 (the "1940 Act") are: Rule ... adviser); Rule 17a-8 (permitting mergers between certain affiliated ...
→ Check Latest Keyword Rankings ←
67
A Compilation of Enforcement and Non-Enforcement Actions
https://www.foley.com/en/insights/publications/2014/06/a-compilation-of-enforcement-and-nonenforcement-ac
17(d) and Rule 17d-1 under the Investment Company Act. The SEC issued a cease and desist order, imposed a one-year bar on acting as an ...
→ Check Latest Keyword Rankings ←
https://www.foley.com/en/insights/publications/2014/06/a-compilation-of-enforcement-and-nonenforcement-ac
17(d) and Rule 17d-1 under the Investment Company Act. The SEC issued a cease and desist order, imposed a one-year bar on acting as an ...
→ Check Latest Keyword Rankings ←
68
Board Consideration of Fund Mergers
https://www.idc.org/pdf/ppr_idc_fund_mergers.pdf
if applicable, Rule 17a-8 under the Investment Company Act. Generally speaking, directors have a responsibility under state law to evaluate the proposed ...
→ Check Latest Keyword Rankings ←
https://www.idc.org/pdf/ppr_idc_fund_mergers.pdf
if applicable, Rule 17a-8 under the Investment Company Act. Generally speaking, directors have a responsibility under state law to evaluate the proposed ...
→ Check Latest Keyword Rankings ←
69
Frequently Asked Questions - Federal Reserve Board
https://www.federalreserve.gov/supervisionreg/faq.htm
Is a registered investment company or a foreign public fund a banking entity subject to section 13 of the BHC Act and implementing rules during its seeding ...
→ Check Latest Keyword Rankings ←
https://www.federalreserve.gov/supervisionreg/faq.htm
Is a registered investment company or a foreign public fund a banking entity subject to section 13 of the BHC Act and implementing rules during its seeding ...
→ Check Latest Keyword Rankings ←
70
Investment Company Act of 1940 - Wikipedia
https://en.wikipedia.org/wiki/Investment_Company_Act_of_1940
The Investment Company Act of 1940 is an act of Congress which regulates investment funds. It was passed as a United States Public Law ( Pub.
→ Check Latest Keyword Rankings ←
https://en.wikipedia.org/wiki/Investment_Company_Act_of_1940
The Investment Company Act of 1940 is an act of Congress which regulates investment funds. It was passed as a United States Public Law ( Pub.
→ Check Latest Keyword Rankings ←
71
understanding the sec's proposal on registered funds' use of ...
https://www.morganlewis.com/-/media/files/publication/morgan-lewis-title/white-paper/understanding-sec-proposal-on-funds-use-of-derivatives_23march16.pdf
For funds that invest in exchange-traded futures and options on futures,13 Rule 17f-6 under the. 1940 Act permits a fund to maintain cash, ...
→ Check Latest Keyword Rankings ←
https://www.morganlewis.com/-/media/files/publication/morgan-lewis-title/white-paper/understanding-sec-proposal-on-funds-use-of-derivatives_23march16.pdf
For funds that invest in exchange-traded futures and options on futures,13 Rule 17f-6 under the. 1940 Act permits a fund to maintain cash, ...
→ Check Latest Keyword Rankings ←
72
Investment Company Act Status of Non-U.S. Issuers
https://www.clearygottlieb.com/-/media/files/investment-company-act-status-of-nonus-issuersupdated-commentary-on-bookentry-deposit-procedures-und.pdf
Rule 2a51-1(h) under the Investment Company Act establishes the ... 25% of the offering.17 Offerings without gatekeepers typically also require U.S..
→ Check Latest Keyword Rankings ←
https://www.clearygottlieb.com/-/media/files/investment-company-act-status-of-nonus-issuersupdated-commentary-on-bookentry-deposit-procedures-und.pdf
Rule 2a51-1(h) under the Investment Company Act establishes the ... 25% of the offering.17 Offerings without gatekeepers typically also require U.S..
→ Check Latest Keyword Rankings ←
73
Why an Operating Company Can't be an “Investment ...
https://wow.lw.com/Article/Index/154?refertype=Topic&refname=Investment%20Company%20Act&refid=0
Put simply, “investment company” status is incompatible with an operating business because the Investment Company Act is designed to regulate ...
→ Check Latest Keyword Rankings ←
https://wow.lw.com/Article/Index/154?refertype=Topic&refname=Investment%20Company%20Act&refid=0
Put simply, “investment company” status is incompatible with an operating business because the Investment Company Act is designed to regulate ...
→ Check Latest Keyword Rankings ←
74
Investment Company Act of 1940 | Financial Services Observer
https://www.gtlaw-financialservicesobserver.com/category/investment-company-act-of-1940/
On Sept. 26, 2019, the Securities and Exchange Commission (SEC) announced it had adopted a new Rule 6c-11 under the Investment Company Act of 1940 ( ...
→ Check Latest Keyword Rankings ←
https://www.gtlaw-financialservicesobserver.com/category/investment-company-act-of-1940/
On Sept. 26, 2019, the Securities and Exchange Commission (SEC) announced it had adopted a new Rule 6c-11 under the Investment Company Act of 1940 ( ...
→ Check Latest Keyword Rankings ←
75
SEC clarifies advisers' duties regarding Rule 17a-7 transactions
https://www.lexology.com/library/detail.aspx?g=523b96c8-6e39-4902-b3be-7477e61573b3
The SEC staff indicated that an adviser must determine that the Rule 17a-7 transaction is in the best interests of both the selling and buying ...
→ Check Latest Keyword Rankings ←
https://www.lexology.com/library/detail.aspx?g=523b96c8-6e39-4902-b3be-7477e61573b3
The SEC staff indicated that an adviser must determine that the Rule 17a-7 transaction is in the best interests of both the selling and buying ...
→ Check Latest Keyword Rankings ←
76
SEC Adopts Expedited Review Procedure for Exemptive ...
https://www.equitytrack.co/sec-expedited-review-investment-company-act/
On July 6, 2020, the SEC adopted amendments to rule 0-5 under the Investment Company Act of 1940 (“Act”) to make the process more efficient, ...
→ Check Latest Keyword Rankings ←
https://www.equitytrack.co/sec-expedited-review-investment-company-act/
On July 6, 2020, the SEC adopted amendments to rule 0-5 under the Investment Company Act of 1940 (“Act”) to make the process more efficient, ...
→ Check Latest Keyword Rankings ←
77
The Investment Company Act of 1940
https://www.mtc.gov/uploadedFiles/Multistate_Tax_Commission/Uniformity/Minutes/Definitions%20of%20Investment%20Bank.pdf
the associated persons of the investment bank holding company. General Rules and Regulations promulgated under the. Securities Exchange Act of 1934. Rule 17i-1 ...
→ Check Latest Keyword Rankings ←
https://www.mtc.gov/uploadedFiles/Multistate_Tax_Commission/Uniformity/Minutes/Definitions%20of%20Investment%20Bank.pdf
the associated persons of the investment bank holding company. General Rules and Regulations promulgated under the. Securities Exchange Act of 1934. Rule 17i-1 ...
→ Check Latest Keyword Rankings ←
78
The Investment Lawyer - Fried Frank
https://www.friedfrank.com/uploads/siteFiles/Publications/IL_0814_Selden.pdf
of Regulation S are met. Investment Company Act of 1940. Private Funds. As noted above, employees may invest in a fund commingled with third-party investors ...
→ Check Latest Keyword Rankings ←
https://www.friedfrank.com/uploads/siteFiles/Publications/IL_0814_Selden.pdf
of Regulation S are met. Investment Company Act of 1940. Private Funds. As noted above, employees may invest in a fund commingled with third-party investors ...
→ Check Latest Keyword Rankings ←
79
Rule G-17 Conduct of Municipal Securities and ... - MSRB
https://www.msrb.org/Rules-and-Interpretations/MSRB-Rules/General/Rule-G-17
› MSRB-Rules › General › Rule-...
→ Check Latest Keyword Rankings ←
https://www.msrb.org/Rules-and-Interpretations/MSRB-Rules/General/Rule-G-17
› MSRB-Rules › General › Rule-...
→ Check Latest Keyword Rankings ←
80
SEC Proposes Substantial New Cybersecurity Requirements ...
https://www.hklaw.com/en/insights/publications/2022/02/sec-proposes-substantial-new-cybersecurity-requirements
The "Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies" Proposed Rule ...
→ Check Latest Keyword Rankings ←
https://www.hklaw.com/en/insights/publications/2022/02/sec-proposes-substantial-new-cybersecurity-requirements
The "Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies" Proposed Rule ...
→ Check Latest Keyword Rankings ←
81
Qualified Purchasers under the Investment Company Act
https://www.compliancebuilding.com/2010/04/21/qualified-purchasers-under-the-investment-company-act/
In a private fund exempt under 3(c)(1) investors only generally need to be accredited investors (and “qualified clients” if the fund manager ...
→ Check Latest Keyword Rankings ←
https://www.compliancebuilding.com/2010/04/21/qualified-purchasers-under-the-investment-company-act/
In a private fund exempt under 3(c)(1) investors only generally need to be accredited investors (and “qualified clients” if the fund manager ...
→ Check Latest Keyword Rankings ←
82
26 CFR § 601 - IRS
https://www.irs.gov/pub/irs-drop/rp-14-45.pdf
Company Act of 1940 (1940 Act) and regulated as an MMF under Rule 2a–7 under the. 1940 Act (17 CFR §270.2a–7). Unlike other types of mutual funds, MMFs have.
→ Check Latest Keyword Rankings ←
https://www.irs.gov/pub/irs-drop/rp-14-45.pdf
Company Act of 1940 (1940 Act) and regulated as an MMF under Rule 2a–7 under the. 1940 Act (17 CFR §270.2a–7). Unlike other types of mutual funds, MMFs have.
→ Check Latest Keyword Rankings ←
83
The Family Office Rule Under the Investment Advisers Act
https://www.squirepattonboggs.com/-/media/files/insights/publications/2017/06/family-office-insights-the-family-office-rule-under-the-investment-advisers-act/26895-2017_june_family-office-insight_-family-office-exemption.pdf
The Advisers. Act defines an “investment adviser” as anyone who provides advice regarding securities, is engaged in the business of providing such services and ...
→ Check Latest Keyword Rankings ←
https://www.squirepattonboggs.com/-/media/files/insights/publications/2017/06/family-office-insights-the-family-office-rule-under-the-investment-advisers-act/26895-2017_june_family-office-insight_-family-office-exemption.pdf
The Advisers. Act defines an “investment adviser” as anyone who provides advice regarding securities, is engaged in the business of providing such services and ...
→ Check Latest Keyword Rankings ←
84
Regulation of Investment Companies | LexisNexis Store
https://store.lexisnexis.com/products/regulation-of-investment-companies-skuusSku10265
Regulation of Investment Companies is a complete practice guide to investment company and mutual fund regulation, including the 1940 Investment Company Act.
→ Check Latest Keyword Rankings ←
https://store.lexisnexis.com/products/regulation-of-investment-companies-skuusSku10265
Regulation of Investment Companies is a complete practice guide to investment company and mutual fund regulation, including the 1940 Investment Company Act.
→ Check Latest Keyword Rankings ←
85
Posts in Securities Act Section 17(b): Securities Law Blog
https://www.olshanlaw.com/blogs-Securities-Law-Blog,topic,securities-act-section-17-b
› blogs-Securities-Law-Blo...
→ Check Latest Keyword Rankings ←
https://www.olshanlaw.com/blogs-Securities-Law-Blog,topic,securities-act-section-17-b
› blogs-Securities-Law-Blo...
→ Check Latest Keyword Rankings ←
86
Compliance Programs of Investment Companies and ...
https://www.dorsey.com/newsresources/publications/2004/01/compliance-programs-of-investment-companies-and-__
On December 17, 2003, the Securities and Exchange Commission (the "SEC") adopted new Rule 206(4)-7 under the Investment Advisers Act of 1940 ...
→ Check Latest Keyword Rankings ←
https://www.dorsey.com/newsresources/publications/2004/01/compliance-programs-of-investment-companies-and-__
On December 17, 2003, the Securities and Exchange Commission (the "SEC") adopted new Rule 206(4)-7 under the Investment Advisers Act of 1940 ...
→ Check Latest Keyword Rankings ←
87
Introduction and Overview of 40 Act Liquid Alternative Funds
https://www.managedfunds.org/wp-content/uploads/2013/09/Citi-40-Act-Funds-White-Paper-July-2013-2.pdf
V. Marketing and Distributing 40 Act Liquid Alternative Funds. 17. Mutual Fund Share Classes. 17 ... some instances, the Investment Company Act (ICA).
→ Check Latest Keyword Rankings ←
https://www.managedfunds.org/wp-content/uploads/2013/09/Citi-40-Act-Funds-White-Paper-July-2013-2.pdf
V. Marketing and Distributing 40 Act Liquid Alternative Funds. 17. Mutual Fund Share Classes. 17 ... some instances, the Investment Company Act (ICA).
→ Check Latest Keyword Rankings ←
88
Best practices for 17(b) disclosure by online investment ...
https://www.crowdcheck.com/sites/default/files/17%28b%29%20best%20practices_0.pdf
Section 17(b) of the Securities Act was originally intended to prevent investors ... These days, with Rule 506(c) permitting general solicitation of private ...
→ Check Latest Keyword Rankings ←
https://www.crowdcheck.com/sites/default/files/17%28b%29%20best%20practices_0.pdf
Section 17(b) of the Securities Act was originally intended to prevent investors ... These days, with Rule 506(c) permitting general solicitation of private ...
→ Check Latest Keyword Rankings ←
89
Investment Company Act of 1940 Exceptions: Guide ... - Westlaw
https://content.next.westlaw.com/practical-law/document/Icf4a719fef0a11e28578f7ccc38dcbee/Investment-Company-Act-of-1940-Exceptions-Guide-for-Transactional-Lawyers?viewType=FullText&transitionType=Default&contextData=(sc.Default)
This Practice Note provides an overview of the exceptions and exemptions under the Investment Company Act of 1940 commonly relied on in corporate and ...
→ Check Latest Keyword Rankings ←
https://content.next.westlaw.com/practical-law/document/Icf4a719fef0a11e28578f7ccc38dcbee/Investment-Company-Act-of-1940-Exceptions-Guide-for-Transactional-Lawyers?viewType=FullText&transitionType=Default&contextData=(sc.Default)
This Practice Note provides an overview of the exceptions and exemptions under the Investment Company Act of 1940 commonly relied on in corporate and ...
→ Check Latest Keyword Rankings ←
90
SEC Adopts Amendments to Streamline Shareholder Reports ...
https://www.kirkland.com/publications/kirkland-alert/2022/11/sec-shareholder-reports-advertising-rules-for-investment-companies
Significantly, the amendments also exclude open-end funds from reliance on Rule 30e-3 under the Investment Company Act of 1940, ...
→ Check Latest Keyword Rankings ←
https://www.kirkland.com/publications/kirkland-alert/2022/11/sec-shareholder-reports-advertising-rules-for-investment-companies
Significantly, the amendments also exclude open-end funds from reliance on Rule 30e-3 under the Investment Company Act of 1940, ...
→ Check Latest Keyword Rankings ←
91
21VAC5-80-210. Exclusions from definition of "investment ...
https://law.lis.virginia.gov/admincode/title21/agency5/chapter80/section210/
1. An investment company as defined in the Investment Company Act of 1940. 2. An insurance company licensed to transact insurance business in this Commonwealth.
→ Check Latest Keyword Rankings ←
https://law.lis.virginia.gov/admincode/title21/agency5/chapter80/section210/
1. An investment company as defined in the Investment Company Act of 1940. 2. An insurance company licensed to transact insurance business in this Commonwealth.
→ Check Latest Keyword Rankings ←
92
Section 17(b) of the Securities Act in Crowdfunding and Token ...
https://crowdfundingattorney.com/2018/05/02/section-17b-of-the-securities-act-in-crowdfunding-and-token-sales/
What is a REIT, Anyway? Filing Financial Statements and Other Reports Under Regulation A · A Summary of the Investment Company Act for ...
→ Check Latest Keyword Rankings ←
https://crowdfundingattorney.com/2018/05/02/section-17b-of-the-securities-act-in-crowdfunding-and-token-sales/
What is a REIT, Anyway? Filing Financial Statements and Other Reports Under Regulation A · A Summary of the Investment Company Act for ...
→ Check Latest Keyword Rankings ←
93
Investment Company Blanket Bond - ICI Mutual
https://www.icimutual.com/investment-company-blanket-bond
Broad Fidelity Coverage. Rule 17g-1 of the Investment Company Act of 1940 requires registered investment companies to maintain fidelity bonding against employee ...
→ Check Latest Keyword Rankings ←
https://www.icimutual.com/investment-company-blanket-bond
Broad Fidelity Coverage. Rule 17g-1 of the Investment Company Act of 1940 requires registered investment companies to maintain fidelity bonding against employee ...
→ Check Latest Keyword Rankings ←
94
REGULATIONS - EUR-Lex
https://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:32019R2033
After transmission of the draft legislative act to the national parliaments, ... (17) Investment firms should be considered to be small and ...
→ Check Latest Keyword Rankings ←
https://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:32019R2033
After transmission of the draft legislative act to the national parliaments, ... (17) Investment firms should be considered to be small and ...
→ Check Latest Keyword Rankings ←
aerosmith denver colorado
reverse osmosis water filter galway
umc offering envelopes
what should i eat to help me lose weight
does anyone buy silver plated flatware
download php file
california bumper chrome plating
all i need shamrock mp3
enterprise car rental 92037
colorado bighorn sheep draw odds
paddle tennis massachusetts
california cota jobs
help with print shop
yamaha 125 wr kaufen
niland house merchants road
why do chimpanzees have long arms
kelowna tv repair
treatment centers for bipolar disorder
costa del mar for sale
forex main players
ovarian cyst sudden sharp pain
wiring aftermarket voltmeter
snoring quality of sleep
non shedding easy train dogs
texas egg donor
breast enhancement myths
lineage 2 diploma items
healthcare overview united states
battlefield alternative
firestone cabin air filter