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SEC.gov The Laws That Govern the Securities Industry

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.…

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.…

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.…

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…

15 U.S. Code § 80a–2 - Definitions; applicability ...

“Not later than 180 days after the date of enactment of this Act [Oct. 11, 1996], the Commission shall prescribe rules defining the term, or otherwise identifying, ‘investments’ for purposes of section 2(a)(51) of the Investment Company Act of 1940 [15 U.S.C. 80a–2(a)(51)], as added by this Act.”…