The Investment Company Act of 1940 (commonly referred to as the '40 Act) is an act of Congress which regulates investment funds. It was passed as a United...
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Commission and must be registered under the Investment Company Act of 1940. Investment companies invest money on behalf of their clients who, in return, share...
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The Investment Advisers Act of 1940, codified at 15 U.S.C. § 80b-1 through 15 U.S.C. § 80b-21, is a United States federal law that was created to monitor...
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series of acts related to securities and financial regulation. One of these, the Investment Company Act of 1940, clearly defined the responsibilities of investment...
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Utility Holding Company Act of 1935, Investment Company Act of 1940, Investment Advisers Act of 1940, and Energy Policy and Conservation Act of 1975". Regulation...
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businesses. This form of company was created by the US Congress in 1980 in the amendments to the Investment Company Act of 1940. Publicly filing firms...
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Advisers Act of 1940 1940 – Investment Company Act of 1940 1968 – Williams Act (Securities Disclosure Act) 1975 – Securities Acts Amendments of 1975 1982 – Garn–St...
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Closed-end fund (redirect from Closed-end investment company)
Act of 1933 and the Investment Company Act of 1940. U.S.-based closed-end funds are referred to under the law as closed-end companies and form one of...
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Exchange Act of 1934 1939 – Trust Indenture Act of 1939 1940 – Investment Advisers Act of 1940 1940 – Investment Company Act of 1940 1968 – Williams Act (Securities...
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Money market fund (section Similar investments)
Commission (SEC) under the Investment Company Act of 1940. Rule 2a-7 of the act restricts the quality, maturity and diversity of investments by money market funds...
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advisors and funds for compliance with Investment Company Act of 1940 [Section 17(a)] and with the Investment Advisers Act [Section 206(3)]. The SEC can take...
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securities of issuers that are not affiliated with the entity: An insurance company An investment company registered under the Investment Company Act of 1940 A...
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Exchange-traded fund (section Categories of ETFs)
are subject to securities laws (such as the Investment Company Act of 1940 and the Securities Exchange Act of 1934 in the United States). Closed-end funds...
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held company, generally, to fewer than 2000 shareholders, and the U.S. Investment Company Act of 1940, requires registration of investment companies that...
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Exchange Commission under the Investment Company Act of 1940 and is classified as an investment company. UITs are assembled by a sponsor and sold through...
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the financial markets, and to amend the Investment Company Act of 1940 to promote more efficient management of mutual funds, protect investors, and provide...
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development companies (BDCs) under the Investment Company Act of 1940. Typically, BDCs are structured similar to real estate investment trusts (REITs)...
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Indenture Act of 1939 1940 – Investment Advisers Act of 1940 1940 – Investment Company Act of 1940 1968 – Williams Act (Securities Disclosure Act) 1975 –...
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Act of 1940 1940: Investment Company Act of 1940 1968: Williams Act (Securities Disclosure Act) 1975: Securities and Exchange Act 1982: Garn–St. Germain...
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U.S. Securities and Exchange Commission (redirect from Chair of the U.S. Securities and Exchange Commission)
Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002...
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Municipal Securities Rulemaking Board (category Financial regulatory authorities of the United States)
Securities Act of 1933, the Securities Exchange Act of 1934 and the Investment Company Act of 1940) otherwise applicable to private-sector issuers of corporate...
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invests in real estate. Sovereign investment funds Investment funds are regulated by the Investment Company Act of 1940, which broadly describes three major...
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Commission's EDGAR filing system. Companies file an N-1A under the Investment Company Act of 1940 if they wish to register shares of the mutual fund. They file...
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certificate company is an investment company which offers an investment certificate as defined by the United States Investment Company Act of 1940. In general...
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of investment. The SEC distinguishes between clubs on the basis of several laws including the Securities Act of 1933 and the Investment Company Act of...
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prohibitions. For registered investment companies (such as mutual funds), Section 17(e)(1) of the Investment Company Act of 1940 generally prohibits a fund...
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Act of 1939 1940 – Investment Advisers Act of 1940 1940 – Investment Company Act of 1940 1968 – Williams Act (Securities Disclosure Act) 1975 – Securities...
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and 16 days). (See: Certificate of deposit.) Section 28 - Face-Amount Certificate Companies Investment Company Act of 1940 IRS Securities and Exchange Committee...
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Indenture Act of 1939 1940 - Investment Advisers Act of 1940 1940 - Investment Company Act of 1940 1975 – Securities Acts Amendments of 1975 1982 – Garn–St...
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Advisers Act of 1940 1940 – Investment Company Act of 1940 1968 – Williams Act (Securities Disclosure Act) 1975 – Securities Acts Amendments of 1975 1982 – Garn–St...
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