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SEC.gov The Laws That Govern the Securities Industry

See the full text of the Trust Indenture Act of 1939. Investment Company Act of 1940. This Act regulates the organization of companies, including mutual funds, that engage primarily in investing, reinvesting, and trading in securities, and whose own securities are offered to the investing public.…

SEC.gov Laws and Rules

Jun 20, 2018 · Investment Company Act of 1940. This Act regulates the organization of companies, including mutual funds, that engage primarily in investing, reinvesting, and trading in securities, and whose own securities are offered to the investing public. The regulation is designed to minimize conflicts of interest that arise in these complex operations.…

Investment Company Act of 1940 Securities Lawyer's Deskbook

Rules and regulations promulgated under the Investment Company Act of 1940 (17 CFR Part 270) Forms prescribed under the Investment Company Act of 1940; Investment Advisers Act of 1940. Rules and regulations promulgated under the Investment Advisers Act of 1940 (17 CFR Part 275) Forms prescribed under the Investment Advisers Act of 1940…

Investment Company Act of 1940 - Deutsche Bank

Sec. 2 INVESTMENT COMPANY ACT OF 1940 . 4 . ments but has no power to determine that any security or other investment shall be purchased or sold by such company. (2) ‘‘Affiliated company’’ means a company which is an af­ filiated person. (3) ‘‘Affiliated person’’ of another person means (A) any…

Be it enacted by the Senate and House of Representatives ...

INVESTMENT COMPANY ACT OF 1940 øReferences in brackets ø¿ are to title 15, United States Code¿ [Chapter 686 of the 76th Congress] [As Amended Through P.L. 115–174, Enacted May 24, 2018] øCurrency: This publication is a compilation of the text of chapter 686 of the 76th Congress. It was last amended by the public law listed in the As Amended…