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15 U.S. Code § 80a–8 - Registration of investment ...

Section 80a–8. Registration of investment companies; ... to the Commission that a registered investment company has failed to file the registration statement required by this section or a ... FORM AND CONTENT OF AND REQUIREMENTS FOR FINANCIAL STATEMENTS, SECURITIES ACT OF 1933, SECURITIES EXCHANGE ACT OF 1934, INVESTMENT COMPANY ACT OF 1940 ...…

Investment Company Act of 1940 - lawblogs.uc.edu

Section 1 -- Findings and Declaration of Policy Section 2 -- Definitions Section 3 -- Definition of Investment Company Section 4 -- Classification of Investment Companies Section 5 -- Subclassification of Management Companies Section 6 -- Exemptions Section 7 -- Transactions by Unregistered Investment Companies Section 8 -- Registration of Investment Companies Section 9 -- Ineligibility of ...…

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…

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

Any security issued by or any interest or participation in any church plan, company, or account that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 [15 U.S.C. 80a–3(c)(14)], as added by subsection (a) of this section, and any offer, sale, or purchase thereof, shall be ...…

SEC.gov Investment Company Registration and Regulation ...

Feb 19, 2013 · Section 2(b) of the Investment Company Act exempts certain governments, government agencies, and instrumentalities from the provisions of the Investment Company Act. Section 3(b)(1) of the Investment Company Act excludes some issuers from the definition of investment company if they are primarily engaged in a business other than investing ...…

Law Relating To Section 8 Companies (Non-Profit ...

INTRODUCTION. Section 8 of the Companies Act, 2013 provides for a mechanism through which an Association can be registered as a Company, if such association is formed for promoting commerce, art, science, religion or any other useful object and intends to apply its profits/income in promoting its objects.…

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.…