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Google Keyword Rankings for : united states investment company act of 1940
1
g:\comp\sec\investment company act of 1940.xml - GovInfo
https://www.govinfo.gov/content/pkg/COMPS-1879/pdf/COMPS-1879.pdf
INVESTMENT COMPANY ACT OF 1940. øReferences in brackets ø¿ are to title 15, United States Code¿. [Chapter 686 of the 76th Congress].
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https://www.govinfo.gov/content/pkg/COMPS-1879/pdf/COMPS-1879.pdf
INVESTMENT COMPANY ACT OF 1940. øReferences in brackets ø¿ are to title 15, United States Code¿. [Chapter 686 of the 76th Congress].
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2
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.
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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.
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3
Investment Company Act of 1940 | Securities Lawyer's ...
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/
Investment Company Act of 1940 ... Section 29 — Bankruptcy of Face-Amount Certificate Companies amended the Bankruptcy Act and the Bankruptcy Act has since been ...
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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/
Investment Company Act of 1940 ... Section 29 — Bankruptcy of Face-Amount Certificate Companies amended the Bankruptcy Act and the Bankruptcy Act has since been ...
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4
Investment Company Act of 1940, as amended (ICA) - Westlaw
https://content.next.westlaw.com/practical-law/document/I03f4da99eee311e28578f7ccc38dcbee/Investment-Company-Act-of-1940-as-amended?viewType=FullText&originationContext=document&transitionType=DocumentItem&ppcid=84eb9885dade4c2ea1d546158a74d67d&contextData=(sc.DocLink)
Also known as the 40 Act or the ICA. The Investment Company Act of 1940 regulates mutual funds and other companies that engage primarily in ...
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https://content.next.westlaw.com/practical-law/document/I03f4da99eee311e28578f7ccc38dcbee/Investment-Company-Act-of-1940-as-amended?viewType=FullText&originationContext=document&transitionType=DocumentItem&ppcid=84eb9885dade4c2ea1d546158a74d67d&contextData=(sc.DocLink)
Also known as the 40 Act or the ICA. The Investment Company Act of 1940 regulates mutual funds and other companies that engage primarily in ...
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5
17 CFR Part 270 - RULES AND REGULATIONS ...
https://www.law.cornell.edu/cfr/text/17/part-270
17 CFR Part 270 - RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940. CFR ... 270.17f-5 Custody of investment company assets outside the United States.
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https://www.law.cornell.edu/cfr/text/17/part-270
17 CFR Part 270 - RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940. CFR ... 270.17f-5 Custody of investment company assets outside the United States.
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6
Investment Company Act Of 1940 - Financial Crime Academy
https://financialcrimeacademy.org/investment-company-act-of-1940/
The Investment Company Act of 1940 regulates mutual funds, and other companies, that are engaged primarily in investing, reinvesting, ...
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https://financialcrimeacademy.org/investment-company-act-of-1940/
The Investment Company Act of 1940 regulates mutual funds, and other companies, that are engaged primarily in investing, reinvesting, ...
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7
Investment Company Act of 1940, as amended (ICA)
https://uk.practicallaw.thomsonreuters.com/8-382-3557?transitionType=Default&contextData=(sc.Default)
Also known as the 40 Act or the ICA. The Investment Company Act of 1940 regulates mutual funds and other companies that engage primarily in ...
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https://uk.practicallaw.thomsonreuters.com/8-382-3557?transitionType=Default&contextData=(sc.Default)
Also known as the 40 Act or the ICA. The Investment Company Act of 1940 regulates mutual funds and other companies that engage primarily in ...
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8
The Laws That Govern the Securities Industry | Investor.gov
https://www.investor.gov/introduction-investing/investing-basics/role-sec/laws-govern-securities-industry
Investment Company Act of 1940 ... This Act regulates the organization of companies, including mutual funds, that engage primarily in investing, reinvesting, and ...
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https://www.investor.gov/introduction-investing/investing-basics/role-sec/laws-govern-securities-industry
Investment Company Act of 1940 ... This Act regulates the organization of companies, including mutual funds, that engage primarily in investing, reinvesting, and ...
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9
RULES AND REGULATIONS, INVESTMENT COMPANY ACT ...
https://dart.deloitte.com/USDART/home/accounting/sec/rules-regulations/270-rules-regulations-investment-company-act
Pursuant to Section _____ of the Investment Company Act of 1940 ... (1) A notation on the cover page of the application that states prominently, ...
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https://dart.deloitte.com/USDART/home/accounting/sec/rules-regulations/270-rules-regulations-investment-company-act
Pursuant to Section _____ of the Investment Company Act of 1940 ... (1) A notation on the cover page of the application that states prominently, ...
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10
Full text of Investment Company Act and Investment Advisers ...
https://fraser.stlouisfed.org/title/investment-company-act-investment-advisers-act-1940-5867/fulltext
... Senate and House of Representatives of the United States of America in Congress assembled, TITLE I-INVESTMENT COMPANIES Investment Company Act of 1940.
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https://fraser.stlouisfed.org/title/investment-company-act-investment-advisers-act-1940-5867/fulltext
... Senate and House of Representatives of the United States of America in Congress assembled, TITLE I-INVESTMENT COMPANIES Investment Company Act of 1940.
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11
FDIC Law, Regulations, Related Acts - Miscellaneous Statutes ...
https://www.fdic.gov/regulations/laws/rules/8000-7000.html
INVESTMENT COMPANY ACT OF 1940. An Act. To provide for the registration and ... doing business under the laws of any State or of the United States, ...
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https://www.fdic.gov/regulations/laws/rules/8000-7000.html
INVESTMENT COMPANY ACT OF 1940. An Act. To provide for the registration and ... doing business under the laws of any State or of the United States, ...
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12
A Historical Analysis of the Investment Company Act of 1940
https://repository.law.umich.edu/mbelr/vol10/iss1/4/
More than 100 million Americans invest $25 trillion in mutual funds and exchange-traded funds (collectively, “funds”) regulated by the Investment Company Act of ...
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https://repository.law.umich.edu/mbelr/vol10/iss1/4/
More than 100 million Americans invest $25 trillion in mutual funds and exchange-traded funds (collectively, “funds”) regulated by the Investment Company Act of ...
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13
Public Law 115-417 - Congress.gov
https://www.congress.gov/115/plaws/publ417/PLAW-115publ417.htm
[115th Congress Public Law 417] [From the U.S. Government Publishing Office] ... Section 203 of the Investment Advisers Act of 1940 (15 U.S.C. 80b- 3(b)) is ...
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https://www.congress.gov/115/plaws/publ417/PLAW-115publ417.htm
[115th Congress Public Law 417] [From the U.S. Government Publishing Office] ... Section 203 of the Investment Advisers Act of 1940 (15 U.S.C. 80b- 3(b)) is ...
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14
15 USC 80a-8: Registration of investment companies
https://uscode.house.gov/view.xhtml?req=(title:15%20section:80a-8%20edition:prelim)
(5) the information and documents which would be required to be filed in order to register under the Securities Act of 1933 [15 U.S.C. 77a et seq.] and the ...
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https://uscode.house.gov/view.xhtml?req=(title:15%20section:80a-8%20edition:prelim)
(5) the information and documents which would be required to be filed in order to register under the Securities Act of 1933 [15 U.S.C. 77a et seq.] and the ...
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15
Investment Company Act of 1940 - Explained
https://thebusinessprofessor.com/investments-trading-financial-markets/investment-company-act-of-1940-definition
Based on its title, the 1940 Investment Company Act states explicitly the regulations which must be obeyed by U.S. investment companies ...
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https://thebusinessprofessor.com/investments-trading-financial-markets/investment-company-act-of-1940-definition
Based on its title, the 1940 Investment Company Act states explicitly the regulations which must be obeyed by U.S. investment companies ...
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16
Applications for Deregistration Under Section 8(f) of the ...
https://www.federalregister.gov/documents/2022/11/03/2022-23884/applications-for-deregistration-under-section-8f-of-the-investment-company-act-of-1940
... Under Section 8(f) of the Investment Company Act of 1940 ... Pursuant to Rule 0-5 under the Act, hearing requests should state the ...
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https://www.federalregister.gov/documents/2022/11/03/2022-23884/applications-for-deregistration-under-section-8f-of-the-investment-company-act-of-1940
... Under Section 8(f) of the Investment Company Act of 1940 ... Pursuant to Rule 0-5 under the Act, hearing requests should state the ...
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17
Section 202 - Definitions - 40act.com
https://40act.com/laws-rules/investment-advisers-act-of-1940-statute/section-202-definitions/
(29 The term ''private fund'' means an issuer that would be an investment company, as defined in section 3 of the Investment Company Act of 1940 (15 U.S.C. 80a- ...
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https://40act.com/laws-rules/investment-advisers-act-of-1940-statute/section-202-definitions/
(29 The term ''private fund'' means an issuer that would be an investment company, as defined in section 3 of the Investment Company Act of 1940 (15 U.S.C. 80a- ...
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18
How US-Registered Investment Companies Operate and the ...
https://www.icifactbook.org/us-reg-funds-principles.pdf
fund investing concept on US shores in the late 1800s and early 1900s. ... The Investment Company Act of 1940 ... The Investment Advisers Act of 1940.
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https://www.icifactbook.org/us-reg-funds-principles.pdf
fund investing concept on US shores in the late 1800s and early 1900s. ... The Investment Company Act of 1940 ... The Investment Advisers Act of 1940.
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19
17 CFR Part 270 -- Rules and Regulations, Investment ... - eCFR
https://www.ecfr.gov/current/title-17/chapter-II/part-270?toc=1
There have been changes in the last two weeks to Part 270. ... Part 270 · Rules and Regulations, Investment Company Act of 1940 · 270.0-1 – 270.60a-1 ...
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https://www.ecfr.gov/current/title-17/chapter-II/part-270?toc=1
There have been changes in the last two weeks to Part 270. ... Part 270 · Rules and Regulations, Investment Company Act of 1940 · 270.0-1 – 270.60a-1 ...
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20
Investment Advisers Act of 1940 - Duane Morris
https://www.duanemorris.com/site/static/investment_advisers_act_of_1940.pdf
Unless exempt from registration, the investment manager/adviser to a. “private fund” in the United States is required to register as an. “Investment Adviser” (“ ...
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https://www.duanemorris.com/site/static/investment_advisers_act_of_1940.pdf
Unless exempt from registration, the investment manager/adviser to a. “private fund” in the United States is required to register as an. “Investment Adviser” (“ ...
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21
Overview of Federal and State Regulation of Investment ...
https://files.klgates.com/files/upload/dc_im_01-overview.pdf
advisory contracts. (iii) The 1940 Act governs certain of the adviser's transactions with the fund. (b). Investment Advisers Act of 1940.
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https://files.klgates.com/files/upload/dc_im_01-overview.pdf
advisory contracts. (iii) The 1940 Act governs certain of the adviser's transactions with the fund. (b). Investment Advisers Act of 1940.
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22
Investment Company Act of 1940 - Smarsh
https://www.smarsh.com/regulations/investment-company-act-of-1940/
The Investment Company Act of 1940 regulates the organization of companies who primarily engage in investing, reinvesting, and securities trading, ...
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https://www.smarsh.com/regulations/investment-company-act-of-1940/
The Investment Company Act of 1940 regulates the organization of companies who primarily engage in investing, reinvesting, and securities trading, ...
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23
Investment Advisor Act of 1940 and Investment Company Act ...
https://www.youtube.com/watch?v=ICQIwLO_7G8
May 23, 2021
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https://www.youtube.com/watch?v=ICQIwLO_7G8
May 23, 2021
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24
Protecting Investors: A Half Century of Investment Company ...
https://www.skadden.com/-/media/files/publications/2020/12/proposed-legislation-seeks-to-prevent-regulatory/protecting_investors.pdf
Today, more than 3300 investment companies in the United States ... of the Investment Company Act of 1940, you asked the Division to take a fresh look at ...
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https://www.skadden.com/-/media/files/publications/2020/12/proposed-legislation-seeks-to-prevent-regulatory/protecting_investors.pdf
Today, more than 3300 investment companies in the United States ... of the Investment Company Act of 1940, you asked the Division to take a fresh look at ...
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25
Investment Company Act of 1940 - American Bar Association
https://www.americanbar.org/groups/business_law/publications/the_business_lawyer/find_by_subject/buslaw_tbl_mci_ica/
Investment Company Act of 1940 ... This Article discusses a topic of recurring interest to securities practitioners: the ability of private ...
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https://www.americanbar.org/groups/business_law/publications/the_business_lawyer/find_by_subject/buslaw_tbl_mci_ica/
Investment Company Act of 1940 ... This Article discusses a topic of recurring interest to securities practitioners: the ability of private ...
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26
Investment Company Act of 1940 (Summer 2019 Edition)
https://www.amazon.com/Investment-Company-Summer-Lawyers-Reference/dp/1080257098
This book reproduces in a convenient, slim volume the text of the Investment Company Act of 1940, as amended through June 12, 2019, as maintained by the ...
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https://www.amazon.com/Investment-Company-Summer-Lawyers-Reference/dp/1080257098
This book reproduces in a convenient, slim volume the text of the Investment Company Act of 1940, as amended through June 12, 2019, as maintained by the ...
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27
The US Investment Company Act - Jones Day
https://www.jonesday.com/files/publication/2e921b9a-6402-4193-a388-fbc785e14545/presentation/publicationattachment/1e89ab2b-a792-4b88-9403-38c7073f24fb/ereadattachment.pdf
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,.
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https://www.jonesday.com/files/publication/2e921b9a-6402-4193-a388-fbc785e14545/presentation/publicationattachment/1e89ab2b-a792-4b88-9403-38c7073f24fb/ereadattachment.pdf
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,.
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28
U.S. Securities Law Considerations in Structuring a Cross ...
https://www.hodgsonruss.com/newsroom-publications-13356.html
The Investment Company Act is a comprehensive regulatory regime regulating the business activities of “investment companies," which require ...
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https://www.hodgsonruss.com/newsroom-publications-13356.html
The Investment Company Act is a comprehensive regulatory regime regulating the business activities of “investment companies," which require ...
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29
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
U.S. funds and non-U.S. inadvertent investment companies ... Section 7(d) of the Investment Company Act of 1940, as amended (the “Investment Company.
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https://www.clearygottlieb.com/-/media/files/investment-company-act-status-of-nonus-issuersupdated-commentary-on-bookentry-deposit-procedures-und.pdf
U.S. funds and non-U.S. inadvertent investment companies ... Section 7(d) of the Investment Company Act of 1940, as amended (the “Investment Company.
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30
U.S. Investment Company Act Definition: 136 Samples
https://www.lawinsider.com/dictionary/us-investment-company-act
The U.S. Investment Company Act provides certain protections to investors and imposes certain restrictions on companies that are registered as investment ...
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https://www.lawinsider.com/dictionary/us-investment-company-act
The U.S. Investment Company Act provides certain protections to investors and imposes certain restrictions on companies that are registered as investment ...
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31
The Investment Company Act of 1940
https://www.securitieswhistleblowerattorneys.com/the-investment-company-act-of-1940.html
the financial holdings of the investment company; · the investment policies of the investment company; · the background of the company's management; and · material ...
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https://www.securitieswhistleblowerattorneys.com/the-investment-company-act-of-1940.html
the financial holdings of the investment company; · the investment policies of the investment company; · the background of the company's management; and · material ...
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32
Investment Company Act Turns 80
https://www.ici.org/speeches-opinions/20_pss_40act
Eighty years ago, on August 23, 1940, President Franklin Delano Roosevelt signed into law the Investment Company Act of 1940, ...
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https://www.ici.org/speeches-opinions/20_pss_40act
Eighty years ago, on August 23, 1940, President Franklin Delano Roosevelt signed into law the Investment Company Act of 1940, ...
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33
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
270.8b-13 Preparation of registration state- ment or report. ... and (3) of section 17(a) of the. Investment Company Act of. 1940.
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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
270.8b-13 Preparation of registration state- ment or report. ... and (3) of section 17(a) of the. Investment Company Act of. 1940.
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34
Investment Company Filing Status - CT.gov
https://portal.ct.gov/DOB/Corporate-Finance/Investment-Companies/Investment-Company-Filing-Status
Section 36b-21(c)(1) of the Connecticut Uniform Securities Act requires a notice filing by any person offering or selling a security issued by an investment ...
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https://portal.ct.gov/DOB/Corporate-Finance/Investment-Companies/Investment-Company-Filing-Status
Section 36b-21(c)(1) of the Connecticut Uniform Securities Act requires a notice filing by any person offering or selling a security issued by an investment ...
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35
Investment Funds in United States: Regulatory Overview
https://www.ropesgray.com/~/media/Files/articles/2013/08/PLC-PIF-in-US-Regulatory-Overview.ashx
The Investment Company Act of 1940. (ICA) is the primary source of applicable law. The ICA: ▫ Imposes substantive requirements on funds' organisation and.
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https://www.ropesgray.com/~/media/Files/articles/2013/08/PLC-PIF-in-US-Regulatory-Overview.ashx
The Investment Company Act of 1940. (ICA) is the primary source of applicable law. The ICA: ▫ Imposes substantive requirements on funds' organisation and.
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36
Investment Advisers Act of 1940
https://www.sumgrowth.com/7Faces-16.pdf
under the laws of the United States or a Federal savings asso ... defined in section 3 of the. Investment Company Act of 1940 (15 U.S.C. 80a-3), but for sec.
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https://www.sumgrowth.com/7Faces-16.pdf
under the laws of the United States or a Federal savings asso ... defined in section 3 of the. Investment Company Act of 1940 (15 U.S.C. 80a-3), but for sec.
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37
RCW 21.20.005: Definitions.
https://apps.leg.wa.gov/rcw/default.aspx?Cite=21.20.005
(4) "Federal covered adviser" means any person registered as an investment adviser under section 203 of the investment advisers act of 1940.
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https://apps.leg.wa.gov/rcw/default.aspx?Cite=21.20.005
(4) "Federal covered adviser" means any person registered as an investment adviser under section 203 of the investment advisers act of 1940.
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38
SECTION 3(a) OF THE INVESTMENT COMPANY ACT OF 1940
http://www.columbia.edu/~hcs14/IC3.htm
SECTION 3(a) OF THE INVESTMENT COMPANY ACT OF 1940 · 15 U.S.C. · (a) Definitions · When used in this subchapter, "investment company" means any issuer which- · (1) ...
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http://www.columbia.edu/~hcs14/IC3.htm
SECTION 3(a) OF THE INVESTMENT COMPANY ACT OF 1940 · 15 U.S.C. · (a) Definitions · When used in this subchapter, "investment company" means any issuer which- · (1) ...
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39
2019 Statute - Kansas Legislature
http://www.kslegislature.org/li/b2019_20/statute/017_000_0000_chapter/017_012a_0000_article/017_012a_0102_section/017_012a_0102_k/
(A) A banking institution organized under the laws of the United States; ... (D) an investment company as defined in the investment company act of 1940;.
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http://www.kslegislature.org/li/b2019_20/statute/017_000_0000_chapter/017_012a_0000_article/017_012a_0102_section/017_012a_0102_k/
(A) A banking institution organized under the laws of the United States; ... (D) an investment company as defined in the investment company act of 1940;.
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40
Expanding the Investment Company Act: The SEC's ...
https://digitalcommons.unl.edu/cgi/viewcontent.cgi?referer=&httpsredir=1&article=1091&context=lawfacpub
1940 intended the term "security" in the Investment Company Act to be defined ... Marine Bank, however, the United States filed an amicus brief conceding ...
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https://digitalcommons.unl.edu/cgi/viewcontent.cgi?referer=&httpsredir=1&article=1091&context=lawfacpub
1940 intended the term "security" in the Investment Company Act to be defined ... Marine Bank, however, the United States filed an amicus brief conceding ...
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41
What is the Investment Advisers Act of 1940?
https://bradshawlawgroup.com/what-is-the-investement-advisers-act-1940/
According to the SEC, “This law regulates investment advisers. With certain exceptions, this Act requires that firms or sole practitioners ...
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https://bradshawlawgroup.com/what-is-the-investement-advisers-act-1940/
According to the SEC, “This law regulates investment advisers. With certain exceptions, this Act requires that firms or sole practitioners ...
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42
2 Completing the Foundation: The Investment Company Act
https://academic.oup.com/book/27057/chapter/196366096
Abstract. The Investment Company Act of 1940, the law that regulates mutual funds and other types of investment companies, is generally regarded as a model ...
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https://academic.oup.com/book/27057/chapter/196366096
Abstract. The Investment Company Act of 1940, the law that regulates mutual funds and other types of investment companies, is generally regarded as a model ...
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43
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
companies and of the Investment Advisers Act of 1940 (the “Advisers Act”) in the case ... providers has been discovered by both the SEC and state securities ...
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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
companies and of the Investment Advisers Act of 1940 (the “Advisers Act”) in the case ... providers has been discovered by both the SEC and state securities ...
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44
21VAC5-80-220. Performance based fees. - Virginia Law
https://law.lis.virginia.gov/admincodefull/title21/agency5/chapter80/partIV/
An investment company as defined in the Investment Company Act of 1940. ... in this Commonwealth or (ii) organized under the laws of the United States.
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https://law.lis.virginia.gov/admincodefull/title21/agency5/chapter80/partIV/
An investment company as defined in the Investment Company Act of 1940. ... in this Commonwealth or (ii) organized under the laws of the United States.
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45
Special Purpose Acquisition Companies and the Investment ...
https://corpgov.law.harvard.edu/2021/09/03/special-purpose-acquisition-companies-and-the-investment-company-act-of-1940/
Special Purpose Acquisition Companies and the Investment Company Act of 1940 · The company's history · The way the company represents itself to ...
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https://corpgov.law.harvard.edu/2021/09/03/special-purpose-acquisition-companies-and-the-investment-company-act-of-1940/
Special Purpose Acquisition Companies and the Investment Company Act of 1940 · The company's history · The way the company represents itself to ...
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46
SEC Regulation of Investment Company Investments in ...
https://digitalcommons.law.villanova.edu/cgi/viewcontent.cgi?article=1011&context=vjlim
Section 12(d)(3) of the Investment Company Act of 1940. (the "Investment Company ... The report accompanying the House version of the bill merely states.
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https://digitalcommons.law.villanova.edu/cgi/viewcontent.cgi?article=1011&context=vjlim
Section 12(d)(3) of the Investment Company Act of 1940. (the "Investment Company ... The report accompanying the House version of the bill merely states.
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47
SPACs are Not Investment Companies | White & Case LLP
https://www.whitecase.com/insight-alert/spacs-are-not-investment-companies
... in the Investment Company Act of 1940, as amended (the "ICA").1. ... A typical SPAC states that it is a blank check company whose ...
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https://www.whitecase.com/insight-alert/spacs-are-not-investment-companies
... in the Investment Company Act of 1940, as amended (the "ICA").1. ... A typical SPAC states that it is a blank check company whose ...
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48
Registered Investment Companies | Services - Stradley Ronon
https://www.stradley.com/services/practices/registered-investment-companies
Affiliated Transactions – navigating complicated Securities Exchange Commission, U.S. Department of Labor and other rules that govern transactions among ...
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https://www.stradley.com/services/practices/registered-investment-companies
Affiliated Transactions – navigating complicated Securities Exchange Commission, U.S. Department of Labor and other rules that govern transactions among ...
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49
Regs under the Investment Advisers Act of 1940 Source
http://www.lexissecuritiesmosaic.com/Gateway/LRAMKeyCompilationPDFs/Regs%20under%20the%20Investment%20Advisers%20Act%20of%201940.pdf
to the jurisdiction of the United States; and ... to section 54 of the Investment Company Act of 1940 (15 U.S.C. 80a-53)) or any entity described in ...
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http://www.lexissecuritiesmosaic.com/Gateway/LRAMKeyCompilationPDFs/Regs%20under%20the%20Investment%20Advisers%20Act%20of%201940.pdf
to the jurisdiction of the United States; and ... to section 54 of the Investment Company Act of 1940 (15 U.S.C. 80a-53)) or any entity described in ...
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50
VENTURE CAPITAL & PRIVATE EQUITY FUNDS
https://www.morganlewis.com/-/media/files/special-topics/vcpefdeskbook/regulation/vcpefdeskbook_securitieslawoverview.pdf
U.S. Securities Laws Overview: Making Sense of “Accredited Investors,” ... of 1940, as amended (the Investment Company Act), and the U.S. Investment ...
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https://www.morganlewis.com/-/media/files/special-topics/vcpefdeskbook/regulation/vcpefdeskbook_securitieslawoverview.pdf
U.S. Securities Laws Overview: Making Sense of “Accredited Investors,” ... of 1940, as amended (the Investment Company Act), and the U.S. Investment ...
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51
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
the 1940 Investment Companies Act (commonly referred to in the United States as the '40 Act or, in ... Mutual Fund - Registered Investment Company.
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https://www.managedfunds.org/wp-content/uploads/2013/09/Citi-40-Act-Funds-White-Paper-July-2013-2.pdf
the 1940 Investment Companies Act (commonly referred to in the United States as the '40 Act or, in ... Mutual Fund - Registered Investment Company.
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52
client & friends memos - Cadwalader
https://www.cadwalader.com/resources/clients-friends-memos/sec-seeks-public-comment-on-treatment-of-asset-backed-issuers-under-the-investment-company-act
BACKGROUND. The Investment Company Act regulates the activities of companies engaged primarily in investing and trading in securities. Although the Investment ...
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https://www.cadwalader.com/resources/clients-friends-memos/sec-seeks-public-comment-on-treatment-of-asset-backed-issuers-under-the-investment-company-act
BACKGROUND. The Investment Company Act regulates the activities of companies engaged primarily in investing and trading in securities. Although the Investment ...
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53
Registered Investment Companies - Allen & Overy
https://www.allenovery.com/global/-/media/sharepoint/publications/sitecollectiondocuments/pif18_chapter-2_allenoveryllp.pdf?la=en-gb&hash=F7EF7012A37D63EC9FB37CF4F65BF7D0
The Investment Company Act of 1940, as amended (the Investment. Company Act) is the principal U.S. federal regulatory regime applicable to investment funds.
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https://www.allenovery.com/global/-/media/sharepoint/publications/sitecollectiondocuments/pif18_chapter-2_allenoveryllp.pdf?la=en-gb&hash=F7EF7012A37D63EC9FB37CF4F65BF7D0
The Investment Company Act of 1940, as amended (the Investment. Company Act) is the principal U.S. federal regulatory regime applicable to investment funds.
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54
Investment Company Act turns 80 - InvestmentNews
https://www.investmentnews.com/investment-company-act-turns-80-196255
If that's not enough, the success of U.S. fund investing inspired thriving fund ... happy birthday to the Investment Company Act of 1940.
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https://www.investmentnews.com/investment-company-act-turns-80-196255
If that's not enough, the success of U.S. fund investing inspired thriving fund ... happy birthday to the Investment Company Act of 1940.
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55
The Investment Company Act of 1940
https://openscholarship.wustl.edu/cgi/viewcontent.cgi?article=3994&context=law_lawreview
An understanding of the Investment Company Act1 of 1940 calls for a recognition of three ... United States Senate (1940) 76th Cong., 3rd Sess., 234.
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https://openscholarship.wustl.edu/cgi/viewcontent.cgi?article=3994&context=law_lawreview
An understanding of the Investment Company Act1 of 1940 calls for a recognition of three ... United States Senate (1940) 76th Cong., 3rd Sess., 234.
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56
Investment Company Act of 1940 Enters Its 81st Year - Lexology
https://www.lexology.com/library/detail.aspx?g=481f01ef-ec0c-40a1-a9cd-d48d75c25851
The Investment Company Act of 1940, sometimes referred to as the 1940 Act, regulates investment funds. The regulation sets forth the ...
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https://www.lexology.com/library/detail.aspx?g=481f01ef-ec0c-40a1-a9cd-d48d75c25851
The Investment Company Act of 1940, sometimes referred to as the 1940 Act, regulates investment funds. The regulation sets forth the ...
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57
Advisory Opinion 2009-04A | U.S. Department of Labor
https://www.dol.gov/agencies/ebsa/about-ebsa/our-activities/resource-center/advisory-opinions/2009-04a
... of the Employee Retirement Income Security Act of 1974 (ERISA or the Act) ... investment companies registered under the Investment Company Act of 1940, ...
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https://www.dol.gov/agencies/ebsa/about-ebsa/our-activities/resource-center/advisory-opinions/2009-04a
... of the Employee Retirement Income Security Act of 1974 (ERISA or the Act) ... investment companies registered under the Investment Company Act of 1940, ...
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58
der the Investment Company Act of 1940 - JSTOR
https://www.jstor.org/stable/40687513
Portions of this article were prepared while the author was an attorney in the Office of C. Counsel, Division of Investment Management, U.S. Securities and ...
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https://www.jstor.org/stable/40687513
Portions of this article were prepared while the author was an attorney in the Office of C. Counsel, Division of Investment Management, U.S. Securities and ...
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59
Brief History of Federal Investment Company Legislation
https://scholarship.law.nd.edu/cgi/viewcontent.cgi?referer=&httpsredir=1&article=3060&context=ndlr
The first true investment companies of any size in the United States were formed in 1924. ... of the Investment Com- pany Act of 1940 as finally enacted.
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https://scholarship.law.nd.edu/cgi/viewcontent.cgi?referer=&httpsredir=1&article=3060&context=ndlr
The first true investment companies of any size in the United States were formed in 1924. ... of the Investment Com- pany Act of 1940 as finally enacted.
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60
Registered Funds Alert - Simpson Thacher & Bartlett LLP
https://www.stblaw.com/docs/default-source/Publications/registeredfundsalert_october2018.pdf
Company Act of 1940 (the “1940 Act”), sought to ... fund in the Co-Investment Program must also be ... current state of the law and industry practice.
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https://www.stblaw.com/docs/default-source/Publications/registeredfundsalert_october2018.pdf
Company Act of 1940 (the “1940 Act”), sought to ... fund in the Co-Investment Program must also be ... current state of the law and industry practice.
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61
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
Section 17 of the Investment Company Act of 1940,1 for many years a hazard principally to persons planning direct transactions with investment companies ...
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https://scholarship.law.upenn.edu/cgi/viewcontent.cgi?referer=&httpsredir=1&article=5272&context=penn_law_review
Section 17 of the Investment Company Act of 1940,1 for many years a hazard principally to persons planning direct transactions with investment companies ...
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62
The Investment Lawyer - Godfrey & Kahn S.C.
https://www.gklaw.com/Resources/Documents/CreatinganEffective.pdf
Investment Company Act of 1940, as amended (1940 Act), such as approval of the advisory ... state law, directors are responsible for overseeing the.
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https://www.gklaw.com/Resources/Documents/CreatinganEffective.pdf
Investment Company Act of 1940, as amended (1940 Act), such as approval of the advisory ... state law, directors are responsible for overseeing the.
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63
Investment Company Act of 1940 Enters Its 81st Year
https://carpenterwellington.com/post/investment-company-act-1940-enters-81st-year/
The Investment Company Act of 1940, sometimes referred to as the 1940 Act, regulates investment funds. The regulation sets forth the criteria for defining a ...
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https://carpenterwellington.com/post/investment-company-act-1940-enters-81st-year/
The Investment Company Act of 1940, sometimes referred to as the 1940 Act, regulates investment funds. The regulation sets forth the criteria for defining a ...
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64
Public Investment Funds Laws and Regulations USA 2022
https://iclg.com/practice-areas/public-investment-funds-laws-and-regulations/usa
Under Section 3(a)(1)(A) of the 1940 Act, an “investment company” is defined as any issuer that is or holds itself out as being engaged primarily, or proposes ...
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https://iclg.com/practice-areas/public-investment-funds-laws-and-regulations/usa
Under Section 3(a)(1)(A) of the 1940 Act, an “investment company” is defined as any issuer that is or holds itself out as being engaged primarily, or proposes ...
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65
Applicability of the Investment Company Act of 1940 to Real ...
https://kb.osu.edu/bitstream/handle/1811/69623/1/OSLJ_V36N3_0482.pdf
the 1940 Act.1" In essence, § 3(a)(3) defines an investment company ... which states that the company must be engaged "in the business"'. '2 of investing in ...
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https://kb.osu.edu/bitstream/handle/1811/69623/1/OSLJ_V36N3_0482.pdf
the 1940 Act.1" In essence, § 3(a)(3) defines an investment company ... which states that the company must be engaged "in the business"'. '2 of investing in ...
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66
Shark Week: The Investment Company Act of 1940, Part 1
https://wow.lw.com/Article/Index/128
The Investment Company Act and related SEC rules establish a comprehensive regulatory scheme for “investment companies.” The definition of ...
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https://wow.lw.com/Article/Index/128
The Investment Company Act and related SEC rules establish a comprehensive regulatory scheme for “investment companies.” The definition of ...
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67
SEC Provides Temporary Flexibility in Lending and Borrowing ...
https://www.sullcrom.com/files/upload/SC-Publication-SEC-Provides-Temporary-Flexibility-in-Lending-and-Borrowing-Arrangements-to-Registered-Open-End-Funds-and-Separate-Accounts.pdf
to Provide Assistance and Relief to Funds and Investment Advisers in ... Section 12(d)(3) of the Investment Company Act of 1940 (the ...
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https://www.sullcrom.com/files/upload/SC-Publication-SEC-Provides-Temporary-Flexibility-in-Lending-and-Borrowing-Arrangements-to-Registered-Open-End-Funds-and-Separate-Accounts.pdf
to Provide Assistance and Relief to Funds and Investment Advisers in ... Section 12(d)(3) of the Investment Company Act of 1940 (the ...
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68
Form 40-6B Goldman Sachs Group Inc - SEC Report
https://sec.report/Document/0000895345-21-000540/
Section 17(f) of the 1940 Act requires each investment company to place and maintain its securities only in the custody of certain qualified ...
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https://sec.report/Document/0000895345-21-000540/
Section 17(f) of the 1940 Act requires each investment company to place and maintain its securities only in the custody of certain qualified ...
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69
US Investment Company Corporate Governance Outline ...
https://www.wilmerhale.com/-/media/62a878c4a31248dbb0db33544523d1ea.pdf
definition of investment companies by operation of Sections 3(c)(1) or 3(c)(7) of the 1940 Act. US registered investment companies are divided into three types ...
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https://www.wilmerhale.com/-/media/62a878c4a31248dbb0db33544523d1ea.pdf
definition of investment companies by operation of Sections 3(c)(1) or 3(c)(7) of the 1940 Act. US registered investment companies are divided into three types ...
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70
When Is a Mutual Fund Director Independent? The ...
https://via.library.depaul.edu/cgi/viewcontent.cgi?referer=&httpsredir=1&article=1189&context=bclj
Specifically, the Act eliminates a basis for persistent public doubts regarding whether investment companies in the United States treat their investors fairly.
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https://via.library.depaul.edu/cgi/viewcontent.cgi?referer=&httpsredir=1&article=1189&context=bclj
Specifically, the Act eliminates a basis for persistent public doubts regarding whether investment companies in the United States treat their investors fairly.
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71
title 6 - Delaware Code Online
https://delcode.delaware.gov/title6/c073/sc01/index.html
(b) The purpose of the Delaware Securities Act is to prevent the public from being victimized by unscrupulous or overreaching broker-dealers, investment ...
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https://delcode.delaware.gov/title6/c073/sc01/index.html
(b) The purpose of the Delaware Securities Act is to prevent the public from being victimized by unscrupulous or overreaching broker-dealers, investment ...
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72
SEC Staff Issues No-Action Relief Under Investment Company ...
https://www.natlawreview.com/article/sec-staff-issues-no-action-relief-custody-certain-loan-interests-under-investment
Section 17(f) of the 1940 Act generally requires a registered investment company to maintain its securities and similar investments in the ...
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https://www.natlawreview.com/article/sec-staff-issues-no-action-relief-custody-certain-loan-interests-under-investment
Section 17(f) of the 1940 Act generally requires a registered investment company to maintain its securities and similar investments in the ...
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73
SEC's First-Ever Enforcement Proceeding Under Section 11 ...
https://vigilantllc.com/secs-first-ever-enforcement-proceeding-under-section-11-of-the-investment-company-act-of-1940/
Last week, the SEC's first-ever enforcement proceeding under Section 11 of the Investment Company Act of 1940 occurred for improper switching or ...
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https://vigilantllc.com/secs-first-ever-enforcement-proceeding-under-section-11-of-the-investment-company-act-of-1940/
Last week, the SEC's first-ever enforcement proceeding under Section 11 of the Investment Company Act of 1940 occurred for improper switching or ...
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74
The Regulation by the Investment Company Act of 1940 of ...
https://scholarship.law.umn.edu/cgi/viewcontent.cgi?article=3772&context=mlr
latory provisions of the Investment Company Act of 1940 (the. 1940 act). ... formed in the United States; and (4) the business volume of such compa-.
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https://scholarship.law.umn.edu/cgi/viewcontent.cgi?article=3772&context=mlr
latory provisions of the Investment Company Act of 1940 (the. 1940 act). ... formed in the United States; and (4) the business volume of such compa-.
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75
SEC Requests Comments on Investment Company Act Fund ...
https://www.mayerbrown.com/-/media/files/perspectives-events/publications/2020/03/sec-requests-comments-on-investment-company-act-fund-names-rule-_v2.pdf
1 Apparently, the US Securities ... Investment Company Act of 1940 (the “Rule”). ... invest at least 80% of its assets in the manner.
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https://www.mayerbrown.com/-/media/files/perspectives-events/publications/2020/03/sec-requests-comments-on-investment-company-act-fund-names-rule-_v2.pdf
1 Apparently, the US Securities ... Investment Company Act of 1940 (the “Rule”). ... invest at least 80% of its assets in the manner.
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76
33-11029.pdf
https://business.cch.com/srd/33-11029.pdf
the Investment Company Act of 1940, Making Findings, and Imposing a ... BIA investors, including 391,105 investors in the United States.
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https://business.cch.com/srd/33-11029.pdf
the Investment Company Act of 1940, Making Findings, and Imposing a ... BIA investors, including 391,105 investors in the United States.
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77
How to Avoid Registration Under the Investment Company Act
https://moranreevesconn.com/news/how-do-you-avoid-registration-under-the-investment-company-act/
Rule 506 is a safe harbor set of rules for compliance with the private securities exemption found under Section 4(2) of the Securities Act, ...
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https://moranreevesconn.com/news/how-do-you-avoid-registration-under-the-investment-company-act/
Rule 506 is a safe harbor set of rules for compliance with the private securities exemption found under Section 4(2) of the Securities Act, ...
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78
Amending Section 36(b) of the 1940 Act - Fordham Law News
https://news.law.fordham.edu/jcfl/2018/10/28/amending-section-36b-of-the-1940-act-creating-too-high-of-a-standard/
[1] These investment vehicles are generally organized under state laws and governed by the Investment Company Act of 1940 (“1940 Act”), ...
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https://news.law.fordham.edu/jcfl/2018/10/28/amending-section-36b-of-the-1940-act-creating-too-high-of-a-standard/
[1] These investment vehicles are generally organized under state laws and governed by the Investment Company Act of 1940 (“1940 Act”), ...
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79
SEC Raises “Qualified Client” Net Worth Threshold - O'Melveny
https://www.omm.com/resources/alerts-and-publications/alerts/sec-raises-qualified-client-net-worth-threshold/
A qualified client also includes both a “qualified purchaser” as defined in section 2(a)(51)(A) of the Investment Company Act of 1940, as ...
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https://www.omm.com/resources/alerts-and-publications/alerts/sec-raises-qualified-client-net-worth-threshold/
A qualified client also includes both a “qualified purchaser” as defined in section 2(a)(51)(A) of the Investment Company Act of 1940, as ...
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80
Section 22(d) of the Investment Company Act of 1940—Its ...
https://scholarship.law.duke.edu/cgi/viewcontent.cgi?article=2457&context=dlj
The implementation of section 22(d) of the Investment Company Act of 1940 has resulted in a form of retail price maintenance in the mutual fund industry.
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https://scholarship.law.duke.edu/cgi/viewcontent.cgi?article=2457&context=dlj
The implementation of section 22(d) of the Investment Company Act of 1940 has resulted in a form of retail price maintenance in the mutual fund industry.
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81
SEC's focus on compliance: What boards should know
https://us.eversheds-sutherland.com/NewsCommentary/Legal-Alerts/247203/SECs-focus-on-compliance-What-boards-should-know
Rule 38a-1 under the Investment Company Act of 1940 (the 1940 Act) requires funds to review their compliance programs, as well of those of ...
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https://us.eversheds-sutherland.com/NewsCommentary/Legal-Alerts/247203/SECs-focus-on-compliance-What-boards-should-know
Rule 38a-1 under the Investment Company Act of 1940 (the 1940 Act) requires funds to review their compliance programs, as well of those of ...
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82
Not Dead Yet: Second Circuit Revives Private Rights of Action ...
https://www.goodwinlaw.com/publications/2019/08/08_13-not-dead-yet_second-circuit-revives-private
... of Action Under Section 47(b) of the Investment Company Act of 1940. ... The Second Circuit recognized that under U.S. Supreme Court ...
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https://www.goodwinlaw.com/publications/2019/08/08_13-not-dead-yet_second-circuit-revives-private
... of Action Under Section 47(b) of the Investment Company Act of 1940. ... The Second Circuit recognized that under U.S. Supreme Court ...
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83
General Law - Part I, Title XV, Chapter 110A, Section 401
https://malegislature.gov/Laws/GeneralLaws/PartI/TitleXV/Chapter110A/Section401
(a) ''Secretary'' means the state secretary or the secretary of the commonwealth. ... investment companies as defined in the Investment Company Act of 1940, ...
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https://malegislature.gov/Laws/GeneralLaws/PartI/TitleXV/Chapter110A/Section401
(a) ''Secretary'' means the state secretary or the secretary of the commonwealth. ... investment companies as defined in the Investment Company Act of 1940, ...
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84
Bank Holding Company Act, Section 4(k) - FFIEC
https://www.ffiec.gov/exam/InfoBase/documents/02-con-4_k_bank_holding_comp_act-991112.pdf
investment company (as defined in section 3 of the Investment Company Act of 1940). (D) Issuing or selling instruments representing interests in pools of ...
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https://www.ffiec.gov/exam/InfoBase/documents/02-con-4_k_bank_holding_comp_act-991112.pdf
investment company (as defined in section 3 of the Investment Company Act of 1940). (D) Issuing or selling instruments representing interests in pools of ...
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85
The Dodd-Frank Act: Implications for Non-US Investment ...
https://www.curtis.com/our-firm/news/the-dodd-frank-act-implications-for-non-u-s-investment-advisers
The Act defines a private fund as an issuer that would be an investment company under the 1940 Act but for its reliance on the exemptions provided by Sections 3 ...
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https://www.curtis.com/our-firm/news/the-dodd-frank-act-implications-for-non-u-s-investment-advisers
The Act defines a private fund as an issuer that would be an investment company under the 1940 Act but for its reliance on the exemptions provided by Sections 3 ...
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86
Securities Law - Schulte Roth & Zabel LLP
https://www.srz.com/images/content/6/6/v2/66840/Weiss-Fredman-Harrison-Verlenden-Bloomberg-Law-030812-The-Consen.pdf
of avoiding penalties imposed under the United States Internal Revenue Code ... presumptions contained in the Investment Company Act of 1940.
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https://www.srz.com/images/content/6/6/v2/66840/Weiss-Fredman-Harrison-Verlenden-Bloomberg-Law-030812-The-Consen.pdf
of avoiding penalties imposed under the United States Internal Revenue Code ... presumptions contained in the Investment Company Act of 1940.
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87
Investment Company Act of 1940 - Erado
https://www.erado.com/supervision-rules/investment-company-act-1940/
The Investment Company Act of 1940, or ICA 1940, is one of the fundamental regulations that defined the hedge fund, the exchange traded fund (ETF) and ...
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https://www.erado.com/supervision-rules/investment-company-act-1940/
The Investment Company Act of 1940, or ICA 1940, is one of the fundamental regulations that defined the hedge fund, the exchange traded fund (ETF) and ...
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88
Board of Governors, FRS v. Investment Co. Inst. :: 450 U.S. 46 ...
https://supreme.justia.com/cases/federal/us/450/46/
The Board interpretive ruling here prohibits a bank holding company or its subsidiaries from participating in the "sale or distribution" of, or from purchasing, ...
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https://supreme.justia.com/cases/federal/us/450/46/
The Board interpretive ruling here prohibits a bank holding company or its subsidiaries from participating in the "sale or distribution" of, or from purchasing, ...
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89
FINANCE CODE CHAPTER 275. TEXAS MUTUAL TRUST ...
https://statutes.capitol.texas.gov/Docs/FI/htm/FI.275.htm
(b) A mutual trust investment company shall furnish annually a copy of the company's audited financial statement to each corporate fiduciary owning stock in the ...
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https://statutes.capitol.texas.gov/Docs/FI/htm/FI.275.htm
(b) A mutual trust investment company shall furnish annually a copy of the company's audited financial statement to each corporate fiduciary owning stock in the ...
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90
Investment Adviser Guide - NASAA
https://www.nasaa.org/industry-resources/investment-advisers/investment-adviser-guide/
Advisers to investment companies under the Investment Company Act of 1940; ... Filing a complete copy of its Form ADV as filed with the U.S. Securities and ...
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https://www.nasaa.org/industry-resources/investment-advisers/investment-adviser-guide/
Advisers to investment companies under the Investment Company Act of 1940; ... Filing a complete copy of its Form ADV as filed with the U.S. Securities and ...
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91
SEC Provides Regulatory Relief to Investment Companies ...
https://www.ballardspahr.com/insights/alerts-and-articles/2020/03/sec-provides-reg-relief-to-investment-companies-and-investment-advisers
Relief Related to the Investment Company Act of 1940 (the ... under the Investment Company Act that votes of the board of directors of ...
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https://www.ballardspahr.com/insights/alerts-and-articles/2020/03/sec-provides-reg-relief-to-investment-companies-and-investment-advisers
Relief Related to the Investment Company Act of 1940 (the ... under the Investment Company Act that votes of the board of directors of ...
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92
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 ...
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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 ...
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93
SEC Raises the Dollar Threshold for Qualified Clients
https://www.lowenstein.com/news-insights/publications/client-alerts/sec-raises-the-dollar-threshold-for-qualified-clients-investment-management
On June 17, 2021, the U.S. Securities and Exchange Commission issued ... pursuant to Section 205-3 of the Investment Advisers Act of 1940, ...
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https://www.lowenstein.com/news-insights/publications/client-alerts/sec-raises-the-dollar-threshold-for-qualified-clients-investment-management
On June 17, 2021, the U.S. Securities and Exchange Commission issued ... pursuant to Section 205-3 of the Investment Advisers Act of 1940, ...
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94
How to avoid registration under the Investment Company Act ...
https://www.fedseclaw.com/2018/03/articles/sec-news/how-to-avoid-registration-under-the-investment-company-act-of-1940/
One of the worse situations a company may face to be determined to be an investment company under the Investment Company Act of 1940, ...
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https://www.fedseclaw.com/2018/03/articles/sec-news/how-to-avoid-registration-under-the-investment-company-act-of-1940/
One of the worse situations a company may face to be determined to be an investment company under the Investment Company Act of 1940, ...
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95
The ICOs, The DAO, and the Investment Company Act of 1940
https://www.sullivanlaw.com/assets/htmldocuments/ICOs%20The%20DAO%20and%20the%20Investment%20Company%20Act.pdf
The US Securities and ... Investment Company Act of 1940 (the 1940 Act or the Act).12 ... “securities” under the laws of the United States.
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https://www.sullivanlaw.com/assets/htmldocuments/ICOs%20The%20DAO%20and%20the%20Investment%20Company%20Act.pdf
The US Securities and ... Investment Company Act of 1940 (the 1940 Act or the Act).12 ... “securities” under the laws of the United States.
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96
Securities Research | NYU School of Law
https://www.law.nyu.edu/library/research/researchguides/securitieslawsources
Securities Act of 1933 (48 Stat. · Securities Exchange Act of 1934 (48 Stat. · Investment Advisors Act of 1940 (54 Stat. · Investment Company Act of 1940 (54 Stat.
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https://www.law.nyu.edu/library/research/researchguides/securitieslawsources
Securities Act of 1933 (48 Stat. · Securities Exchange Act of 1934 (48 Stat. · Investment Advisors Act of 1940 (54 Stat. · Investment Company Act of 1940 (54 Stat.
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