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POTENTIAL EXEMPTIONS UNDER THE INVESTMENT …

* * These are alternatives (other than the exemptions available under Section 3(c)(1) and Section 3(c)(7) under the Investment . Company Act) to consider for a collective investment vehicle that may be viewed as or fall within the definition of an “investment company” under the Investment Company Act. An issuer also could apply for an…

SEC.gov Investment Company Registration and Regulation ...

Feb 19, 2013 · The Investment Company Act also exempts from regulation under the Investment Company Act a number of investment pools and entities. If an issuer falls within one of these exclusions or exemptions, it may not register as an investment company with the Commission. For example: Section 2(b) of the Investment Company Act exempts certain governments ...…

15 U.S. Code § 80a–3 - Definition of investment company ...

(A), be excluded from the definition of investment company solely by par. (1), did not exceed ten per cent of the value of the company’s total assets, that such issuer nonetheless was deemed to be an investment company for purposes of section 80a–12(d)(1) of this title, and added subpar. (B). Subsec. (c)(11). Pub.…

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 act). If determined to be an investment company, the company is subject to the full regulation under the act. ... there are a number of exemptions from registration available to issuer. Section 3 ...…

Investment Company Act of 1940 Exceptions: Guide for ...

Investment Company Act of 1940 Exceptions: Guide for Transactional Lawyersby Edward Sopher and Gregory Merz, Gibson, Dunn & Crutcher LLP Related Content Maintained • USA (National/Federal)This Practice Note provides an overview of the exceptions and exemptions under the Investment Company Act of 1940 commonly relied on in corporate and finance transactions.…