
	Where results make sense

Topic: Investment Company Act of 1940

Related Topics

List of United States federal legislation

Securities Act of 1933

Securities Exchange Act of 1934

Public law

Securities and Exchange Commission

Act of Congress

Financial supervision

Stock market

Independent agencies of the United States government

United States Code

Financial Services Authority

US GAAP

Federal Trade Commission

Selective Service Act

Financial Accounting Standards Board

In the News (Thu 12 Nov 09)

Northern Trust

Marvin Harrison

Peter Chernin

Gary Locke

Match Play

Penelope Cruz

Mickey Rourke

AR Rahman

Danny Boyle

Hugh Jackman

	How the SEC Protects Investors, Maintains Market Integrity
		Holding companies are subject to SEC regulations on matters such as structure of their utility systems, transactions among companies that are part of the holding company utility system, acquisitions, business combinations, the issue and sale of securities, and financing transactions.
		The focus of this Act is on disclosure to the investing public of information about the fund and its investment objectives, as well as on investment company structure and operations.
		It is important to remember that the Act does not permit the SEC to directly supervise the investment decisions or activities of these companies or judge the merits of their investments.
	www.sec.gov /about/laws.shtml (1182 words)

	SIA Primer on Securities - Investment Company Act of 1940
		Congress enacted the 1940 Act to address abuses in the investment company industry and is designed to help minimize conflicts of interest that arise in the operation of these companies.
		The 1940 Act seeks to prevent abuses through mandating disclosure regarding the investment company’s structure, operations, financial condition, and investment policies when shares of the investment company are initially offered to the public and, thereafter, on a regular periodic bases.
		Investment companies register with the SEC under the 1940 Act and typically register their securities under the 1933 Act.
	www.sia.com /capitol_hill/html/invstmt_comp_act_of_1940.html (246 words)

	Investment Company Act Of 1940 (Site not responding. Last check: 2007-10-19)
		She was so of new york in a time investment company act of 1940 deutsche bank real.
		Already a group amp co. Financial investment company act of 1940 advisory and in hampton nh investors is taking.
		Not all institutional investment company act of 1940 outsource is often.
	www.snark.am /company/investment_company_act_of_1940.html (796 words)

	American Institute of Certified Public Accountants (Site not responding. Last check: 2007-10-19)
		Under sections 2(a)(2) and 2(a)(3) of the Investment Company Act of 1940, a company in which there is a direct or indirect (a) ownership, control of, or voting power over 5 percent or more of the outstanding voting shares or (b) control of or by, or common control under, another company or persons.
		For a regulated investment company, the term is used in connection with net realized long-term capital gains that are retained undistributed, in whole or in part, by the regulated investment company and on which it pays the federal income tax on behalf of shareholders as a whole.
		A contractual provision between an investment company and its investment adviser, in which the adviser agrees to limit its advisory fee or the total expenses of the company to an amount that is usually based on a stipulated relationship between total expenses and average net assets.
	www.aicpa.org /members/div/acctstd/edo/invest/glossary.htm (8134 words)

	Investment Company as supplied by EagleTraders.com
		The purpose of the early British investment trust was to procure the highest yield compatible with safety through the principle of diversification and the substitution of expert investment knowledge for guesswork.
		The vast growth of investment companies in the 1960s and the resulting changes created situations that were not anticipated in the original drafting of the Investment Company Act of 1940.
		Compensation received by investment advisers and other persons affiliated with investment companies should be "reasonable" and there should be opportunity for judicial enforcement of this standard.
	www.eagletraders.com /advice/securities/investment_company.htm (3167 words)

	Venture Capital Glossary of terminology
		Closing: An investment event occurring after the required legal documents are implemented between the investor and a company and after the capital is transferred in exchange for company ownership or debt obligation.
		Or the management of the company may use this vehicle as a means to regain control of the company by converting a company from public to private.
		Companies offering securities, mutual funds, and offerings of other investment companies including Business Development Companies are required to issue prospectuses describing their history, investment philosophy or objectives, risk factors and financial statements.
	www.the500group.com /vcglossary.html (12601 words)

	Stockpatrol: The Investment Act of 1940 - It Was A Very Good Year
		The Investment Company Act of 1940 carved out a separate set of regulations for companies that engage primarily in investing, reinvesting, and trading in securities, and whose own securities are offered to the investing public.
		And while the Investment Company Act requires these companies to disclose their financial condition and investment strategy to investors, the 1940 Act consists of esoteric rules that operate with its companion code, the 1933 Act, to permit qualified companies to sell shares that have not been registered with the SEC.
		Unlike the 1933 and 1934 Acts, which are utilized and invoked by securities experts and amateur investors with equal ease, for sixty four years the Investment Company Act of 1940 has remained the province of a handful of Wall Street professionals and securities attorneys.
	www.stockpatrol.com /article/key/InvestmentAct1940 (1832 words)

	Investment Company Act Of 1940
		Investment firm the seen a Royal Bank of Canada Invests in SCO slight.
		Is considerably further use your investment company act of 1940 cfo the opportunity in.
		Says investment company act of 1940 hatch pam faber vice are underperforming receive cost-advantaged countries pharmaceutical.
	www.gaziantepekspres.org /company/investment_company_act_of_1940.html (769 words)

	Section 3 -- Definition of Investment Company
		The filing of an application under this paragraph in good faith by an issuer other than a registered investment company shall exempt the applicant for a period of sixty days from all provisions of this title applicable to investment companies as such.
		Any issuer all the outstanding securities of which (other than short-term paper and directors' qualifying shares) are directly or indirectly owned by a company excepted from the definition of investment company by paragraph (1) or (2) of this subsection.
		Any person primarily engaged in the business of underwriting and distributing securities issued by other persons, selling securities to customers, acting as broker, and acting as market intermediary, or any one or more of such activities, whose gross income normally is derived principally from such business and related activities.
	www.law.uc.edu /CCL/InvCoAct/sec3.html (1950 words)

	Investment Company Act of 1940 - Glossary - Encyclopedia - Library - VC Experts
		Investment Company Act of 1940 - Glossary - Encyclopedia - Library - VC Experts
		Investment Company Act shall mean the Investment Company Act of 1940, as amended, including the rules and regulations promulgated thereunder.
		View other documents that reference Investment Company Act of 1940.
	vcexperts.com /vce/library/encyclopedia/glossary_view.asp?glossary_id=193 (191 words)

	Investment Advisers Act of 1940
		(5) "Company" means a corporation, a partnership, an association, a joint-stock company, a trust, or any organized group of persons, whether incorporated or not; or any receiver, trustee in a case under Title 11, or similar official, or any liquidating agent for any of the foregoing, in his capacity as such.
		(H) a statement as to whether the principal business of such investment adviser consists or is to consist of acting as investment adviser and a statement as to whether a substantial part of the business of such investment adviser, consists or is to consist of rendering investment supervisory services.
		All records (as so defined) of such investment advisers are subject at any time, or from time to time, to such reasonable periodic, special, or other examinations by representatives of the Commission as the Commission deems necessary or appropriate in the public interest or for the protection of investors.
	www.sec.gov /rules/extra/ia1940.htm (5468 words)

	Act of 1940, higher education - Soldiers' and Sailors' Civil Relief Act
		The Investment Company Act of 1940 is legislation passed by the US Congress dealing with the regulation of investment companies--closed-end investment
		An Introduction to the Investment Advisers Act of 1940 - The
		The Smith Act of 1940 5 made it a criminal offense for anyone to knowingly or willfully advocate, abet, advise, or teach the duty, necessity, desirability,
	higher-education.yoursuperengine.com /q/higher-education-act-of-1940.htm (660 words)

	R164. Commerce, Securities., R164-2. Investment Adviser - Unlawful Acts.
		(3) "Company" means a corporation, partnership, association, joint stock company, trust, or any organized group of persons, whether incorporated or not; or any receiver, trustee in a case under title 11 of the United States Code, or similar official or any liquidating agent for any of the foregoing, in his capacity as such.
		(1)(b) a person who the investment adviser and its investment adviser representatives reasonably believe, immediately before entering into the contract, is a natural person or a company whose net worth, at the time the contract is entered into, exceeds $1,500,000.
		(1)(e) Where the investment adviser's compensation is based in part on the unrealized appreciation of securities for which market quotations are not readily available within the meaning of Rule 2a-4(a)(1) under the Investment Company Act of 1940 how the securities will be valued and the extent to which the valuation will be independently determined.
	www.code-co.com /utah/admin/2001/r164002.htm (991 words)

	PGResources- Philanthropy Protection Act of 1995
		The Philanthropy Protection Act of 1995 prohibits the payment of commissions or remuneration to anyone based on the value of a charitable gift annuity given to a public charity (unless the charity AND each member of its development/sales staff is willing to be licensed under the S.E.C. securities sales regulations).
		Amendments to the Investment Company Act of 1940.
		Amendment of the Investment Advisers Act of 1940.
	www.pgresources.com /philact.html (597 words)

	Investment Company
		Shares of closed end investment companies are traded like stocks.
		One of their advantages is that investment companies are liquid.
		The federal law that regulates the investment companies is the Investment Company Act of 1940.
	www.speculativebubble.com /terms/investmentc.shtml (45 words)

	17 CFR PART 274 (Site not responding. Last check: 2007-10-19)
		This form shall be used pursuant to section 54(c) of the Investment Company Act of 1940 [15 U.S.C. 80a–53(c)] by a business development company to file a notice of withdrawal of its election under section 54(a) of the Investment Company Act of 1940 [15 U.S.C. 80a–53(a)].
		This form shall be used by registered management investment companies for semi-annual or annual reports to be filed pursuant to rule 30b1–1 (17 CFR 270.30b1–1) and by registered unit investment trusts for annual reports to be filed pursuant to rule 30a–1 (17 CFR 270.30a–1).
		This form shall be used by registered management investment companies to file reports pursuant to §270.30b2–1(a) of this chapter not later than 10 days after the transmission to stockholders of any report that is required to be transmitted to stockholders under §270.30e–1 of this chapter.
	www.washingtonwatchdog.org /documents/cfr/title17/part274.html (3669 words)

	ipedia.com: Investment Company Act of 1940 Article (Site not responding. Last check: 2007-10-19)
		Also identified as Title 15, Chapter 2D, Subchapter I of the United States Code, the Investment Company Act of 1940 is an Act of Congress created to protect the interests of the public when dealing wi...
		Investment Company Act of 1940 Article - ipedia.com
		Also identified as Title 15, Chapter 2D, Subchapter I of the United States Code, the Investment Company Act of 1940 is an Act of Congress created to protect the interests of the public when dealing with investment companies, as defined by the Act.
	www.ipedia.com /investment_company_act_of_1940.html (488 words)

	Investment Company Act of 1940
		Created in 1940 through an act of Congress, this piece of legislation clearly defines the responsibilities and limitations placed upon fund companies that offer investment products to the public.
		Enforced and regulated by the SEC, this act clearly sets out the limits regarding filings, service charges, financial disclosure, and fiduciary duties.
		It is the document that keeps investment companies in check.
	www.investopedia.com /terms/i/investmentcompanyact.asp (130 words)

	SEC Commemorates 60th Anniversary of the Investment Company Act of 1940, October 2000
		SEC Commemorates 60th Anniversary of the Investment Company Act of 1940, October 2000
		Washington, DC, October 18, 2000 - The Securities and Exchange Commission hosted a panel discussion on October 4, 2000 to commemorate the 60th anniversary of the Investment Company Act of 1940.
		The discussion featured representatives from the mutual fund and investment management industry, including former Institute Chairman John J. Brennan and Institute President Matthew P. Fink.
	www.ici.org /60year/00_audio_sec_60th.html (252 words)

	1940 Act
		Certain Provisions Under the Investment Company Act of 1940
		Certain Rules Under the Investment Company Act of 1940
		Certain Investment Companies Owned by Companies Which Are Not Investment Companies
	www.moneymanagerservices.com /Laws/1940_act.cfm (135 words)

	Find in a Library: The Investment company act of 1940 : workshop II
		The Investment company act of 1940 : workshop II by David M Butowsky
		The Investment company act of 1940 : workshop II from Amazon.com
		WorldCat is provided by OCLC Online Computer Library Center, Inc. on behalf of its member libraries.
	www.worldcatlibraries.org /wcpa/ow/4880b3e7bcfc734c.html (85 words)

	Securities Regulation - Securities Exchange Act of 1934 and Investment Company Act of 1940 : Curriculum : Academics : ... (Site not responding. Last check: 2007-10-19)
		A survey of the obligations imposed by the federal securities laws on companies, their managers and shareholders, and those who work in the securities industry.
		The course will cover disclosure obligations for publicly traded companies, fraud and manipulation in the securities markets, insider trading and proxy regulation, and the regulation of securities markets and securities professionals.
		It will also provide an introduction to the regulation of mutual funds under the Investment Company Act.
	law.vanderbilt.edu /academics/courses/sec34.html (136 words)

	Index
		Rule 8f-1 -- Form for Application by Certain Registered Investment Companies for Orders Declaring that Such Compaines Have Ceased to Be Investment Companies as Defined by the Act
		Rule 12d2-1 -- Definition of Insurance Company for Purposes of Sections 12(d)(2) and 12(g) of the Act
		Rule 28b-1 -- Investment in Loans Partially or Wholly Guaranteed Under the Servicemen's Readjustment Act of 1944, as Amended
	www.law.uc.edu /CCL/InvCoRls (2145 words)

	Diversified Investment Company
		Diversified Investment Company - under the Investment Company Act of 1940, an Investment Company, with respect to 75% of its portfolio, can have no more than 5% of it invested in any one security and can own no more than 10% of the voting rights in one company.
		(This can get difficult for them to maintain if one of the stocks they have a large position in skyrockets, or if the company they are investing in is small and a worthwhile investment for the investment company will be more than 10% of the voting rights).
		Not more than 5% invested in any one company.
	www.speculativebubble.com /terms/diversifiedic.shtml (113 words)

	SEC Commemorates 60th Anniversary of the Investment Company Act of 1940 (audio), October 2000
		SEC Commemorates 60th Anniversary of the Investment Company Act of 1940 (audio), October 2000
		SEC Commemorates 60th Anniversary of the Investment Company Act of 1940
		"It's the work of the SEC staff to give the Act vitality and meaning and that's what's been so effective through the years-its reason, judgment and flexibility in interpreting the Act that has made it so successful."
	www.ici.org /statements/remarks/00_60th_anniversary_audio.html (264 words)

	Table of Contents
		Section 12 -- Functions and Activities of Investment Companies
		Section 18 -- Capital Structure of Investment Companies
		Section 30 -- Reports and Financial Statements of Investment Companies and Affiliated Persons
	www.law.uc.edu /CCL/InvCoAct (317 words)

Try your search on: Qwika (all wikis)