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How to avoid registration under the Investment Company Act ...

Mar 13, 2018 · One of the worse situations a company may face to be determined to be an investment company under the Investment Company Act of 1940, as amended (the. ... Inadvertent investment companies. Under Section 3(a)(1(C) of the act, an issuer may become an investment company if it is engaged, or proposes to engage, in the business of investing ...…

Securities Litigation & Regulation

Securities Litigation & Regulation repercussions to these so-called “inadvertent investment companies” can be profound. The Inadvertent Investment Company The ICA provides three statutory bases for a company to be considered an investment company. Two of the three can be considered “elective” in nature. Whether a company…

The Investment Lawyer

an “investment company” in Section 3 is relatively formulaic—if more than 40 percent of the value of its total assets (excluding Government securities and cash items) on an unconsolidated basis are “invest-ment securities” (that is, bad assets) then the operat-ing company is a prima facie investment company (the 40 percent test).…

Words Of Wisdom

The Investment Company Act and related SEC rules establish a comprehensive regulatory scheme for “investment companies.” The definition of investment company is broad and can even cover companies that would view themselves as operating companies rather than investment companies. These are often called “inadvertent investment companies ...…

SEC.gov Investment Company Registration and Regulation ...

Feb 19, 2013 · This Investment Company Registration and Regulation Package (“Package”) contains general information about investment companies (e.g., mutual funds, closed-end funds, and unit investment trusts) and supersedes the “Investment Company Registration Package” that was previously distributed in a printed format.Due to continuous changes in the federal securities laws, we no longer ……