Investment Company Act Section 3 C

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“Not later than 180 days after the date of enactment of this Act [Oct. 11, 1996], the Commission shall prescribe rules defining the term ‘beneficial owner’ for purposes of section 3(c)(7)(B) of the Investment Company Act of 1940 [15 U.S.C. 80a–3(c)(7)(B)], as amended by this Act.”…

Section 3 (c) (7) - Exemption from Definition of Investment Company. Notwithstanding subsection (a) of Section 3 of the Investment Company Act of 1940, none of the following persons is an investment company within the meaning of this subchapter: …. (A) Any issuer, the outstanding securities of which are owned exclusively by persons who,...…

3C7 refers to a portion of the Investment Company Act of 1940 that allows private funds meeting specific criteria an exemption from some Securities and Exchange Commission (SEC) regulation. 3C7 is shorthand for the 3(c)(7) exemption.…

3C1 refers to a portion of the Investment Company Act of 1940 that allows private funds to avoid the requirements of the Securities and Exchange Commission (SEC). 3C1 is shorthand for the 3(c)(1) exemption found in section 3 of the act.…

Feb 19, 2013 · Section 3(a)(1) of the Investment Company Act defines an “investment company” for purposes of the federal securities laws. Section 3(a)(1)(A) of the Investment Company Act defines an investment company as an issuer which is or holds itself out as being engaged primarily, or proposes to engage primarily,...…

A 3(c)(7) hedge fund is exempt under the Investment Company Act and must comply with two basic requirements: (1) the fund can have only qualified purchasers as investors and (2) the fund can have no more than 499 investors.   These requirements are detailed below.…

Nov 06, 2017 · Dodd-Frank created a new legal definition for a “private fund” as pooled investment vehicles that are excluded from the definition of “investment company” under the Investment Company Act of 1940 by section 3(c)(1) or 3(c)(7) of that Act.…

Section 30 -- Reports and Financial Statements of Investment Companies and Affiliated Persons Section 31 -- Accounts and Records Section 32 -- Accountants and Auditors Section 33 -- Filing of Documents with Commission in Civil Actions Section 34 -- Destruction and Falsification of Reports and Records Section 35 -- Unlawful Representations and Names Section 36 -- Breach of Fiduciary Duty Section 37 ……