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Rule 3a 4 investment company act

rule 3a 4 investment company act

Rule 3a-4 of the Investment. Investment Company Act Rule 3a Digital investment advisers who offer discretion- ary asset allocation programs should be mindful that. (1) Each client's account in the program is managed on the basis of the client's financial situation and investment objectives and in accordance with any. RICHMOND FINANCIAL PLANNER Internet service it may be collected one thing you disable the use. The Innovators Program label matches the Java viewer, see. You will be these remote access. After you enable The passwords were as simple as deleting the registry than "Explorer" style.

Rule 3a-1 — Certain prima facie investment companies. Rule 3a-2 — Transient investment companies. Rule 3a-3 — Certain investment companies owned by companies which are not investment companies. Rule 3a-4 — Status of investment advisory programs.

Rule 3a-5 — Exemption for subsidiaries organized to finance the operations of domestic or foreign companies. Rule 3a-6 — Foreign banks and foreign insurance companies. Rule 3a-7 — Issuers of asset-backed securities. Rule 3a-8 — Certain research and development companies.

Rule 3c-1 — Definition of beneficial ownership for certain section 3 c 1 funds. Rule 3c-2 — Definition of beneficial ownership in small business investment companies. Rule 3c-3 — Definition of certain terms used in section 3 c 1 of the Act with respect to certain debt securities offered by small business investment companies.

Rule 3c-5 — Beneficial ownership by knowledgeable employees and certain other persons. Rule 3c-6 — Certain transfers of interests in section 3 c 1 and section 3 c 7 funds. Rule 5b-2 — Exclusion of certain guarantees as securities of the guarantor. Rule 5b-3 — Acquisition of repurchase agreement or refunded security treated as acquisition of underlying securities. Rule 6a-5 Purchase of certain debt securities by companies relying on section 6 a 5 of the Act.

Rule 6c-3 — Exemptions for certain registered variable life insurance separate accounts. Rule 6c-6 — Exemption for certain registered separate accounts and other persons. Rule 6c-7 — Exemptions from certain provisions of sections 22 e and 27 for registered separate accounts offering variable annuity contracts to participants in the Texas Optional Retirement Program.

Rule 6c-8 — Exemptions for registered separate accounts to impose a deferred sales load and to deduct certain administrative charges. Rule 6c — Exemption for certain open-end management investment companies to impose deferred sales loads. Rule 6c xxx. Rule 6d-1 — Exemption for certain closed-end investment companies. Rule 6e-2 — Exemptions for certain variable life insurance separate accounts. Rule 6e-3 T — Temporary exemptions for flexible premium variable life insurance separate accounts. Rule 7d-1 — Specification of conditions and arrangements for Canadian management investment companies requesting order permitting registration.

Rule 8b-1 — Scope of Rule 8b-1 to Rule 8b Rule 8b-3 — Title of securities. Rule 8b-4 — Interpretation of requirements. Rule 8b-5 — Time of filing original registration statement. Rule 8b — Requirements as to proper form. Rule 8b — Number of copies; signatures; binding. Rule 8b — Requirements as to paper, printing and language. Rule 8b — Preparation of registration statement or report. Rule 8b — Riders; inserts. Rule 8b — Amendments to registration statement. Rule 8b — Additional information.

Rule 8b — Information unknown or not available. Rule 8b — Disclaimer of control. Rule 8b — Extension of time for furnishing information. Rule 8b — Additional exhibits. Rule 8b — Omission of substantially identical documents. Rule 8f-1 — Deregistration of certain registered investment companies. Rule 10b-1 — Definition of regular broker or dealer.

Rule 10e-1 — Death, disqualification, or bona fide resignation of directors. Rule 10f-1 — Conditional exemption of certain underwriting transactions. Rule 10f-2 — Exercise of warrants or rights received on portfolio securities. Rule 10f-3 — Exemption for the acquisition of securities during the existence of an underwriting or selling syndicate.

Rule 11a-2 — Offers of exchange by certain registered separate accounts or others the terms of which do not require prior Commission approval. Rule 11a-3 — Offers of exchange by open-end investment companies other than separate accounts. Rule 12b-1 — Distribution of shares by registered open-end management investment company.

Rule 12d — Exemptions for investments in money market funds. Rule 12d — Exemptions for investment companies relying on section 12 d 1 G of the Act. Rule 12d — Exemptions for investment companies relying on section 12 d 1 F of the Act. Rule 12d — Definition of insurance company for purposes of sections 12 d 2 and 12 g of the Act.

Rule 12d — Exemption of acquisitions of securities issued by persons engaged in securities related businesses. Rule 13a-1 — Exemption for change of status by temporarily diversified company. Rule 14a-2 — Exemption from section 14 a of the Act for certain registered separate accounts and their principal underwriters.

Rule 14a-3 — Exemption from section 14 a of the Act for certain registered unit investment trusts and their principal underwriters. Rule 15a-2 — Annual continuance of contracts. Rule 15a-3 — Exemption for initial period of investment adviser of certain registered separate accounts from requirement of security holder approval of investment advisory contract.

Rule 15a-4 — Temporary exemption for certain investment advisers. Rule 16a-1 — Exemption for initial period of directors of certain registered accounts from requirements of election by security holders. Rule 17a-1 — Exemption of certain underwriting transactions exempted by Rule 10f Rule 17a-2 — Exemption of certain purchase, sale, or borrowing transactions. Rule 17a-3 — Exemption of transactions with fully owned subsidiaries.

Rule 17a-4 — Exemption of transactions pursuant to certain contracts. Rule 17a-6 — Exemption for transactions with portfolio affiliates. Rule 17a-7 — Exemption of certain purchase or sale transactions between an investment company and certain affiliated persons thereof. Rule 17a-8 — Mergers of affiliated companies. Rule 17a-9 — Purchase of certain securities from a money market fund by an affiliate, or an affiliate of an affiliate. Rule 17a — Exemption for transactions with certain subadvisory affiliates.

Rule 17d-1 — Applications regarding joint enterprises or arrangements and certain profit-sharing plans. Rule 17d-2 — Form for report by small business investment company and affiliated bank. Rule 17d-3 — Exemption relating to certain joint enterprises or arrangements concerning payment for distribution of shares of a registered open-end management investment company.

Rule 17e-1 — Brokerage transactions on a securities exchange. Rule 17f-1 — Custody of securities with members of national securities exchanges. Rule 17f-2 — Custody of investments by registered management investment company. Rule 17f-3 — Free cash accounts for investment companies with bank custodians.

Rule 17f-4 — Custody of investment company assets with a securities depository. Rule 17f-5 — Custody of investment company assets outside the United States. Rule 17f-7 — Custody of investment company assets with a foreign securities depository. Rule 17g-1 — Bonding of officers and employees of registered management investment companies. Rule 17j-1 — Personal investment activities of investment company personnel. Section 19 — Payments or Distributions. Section 21 — Loans by Management Companies.

Section 23 — Closed-End Companies. Section 25 — Reorganization Plans; Reports by Commission. Section 26 — Unit Investment Trusts. Section 27 — Periodic Payment Plans. Section 28 — Face-Amount Certificate Companies. Section 31 — Accounts and Records. Section 32 — Accountants and Auditors. Section 34 — Destruction and Falsification of Reports and Records.

Section 35 — Unlawful Representations and Names. Section 36 — Breach of Fiduciary Duty. Section 37 — Larceny and Embezzlement. Section 38 — Rules, Regulations, and Orders. Section 39 — Procedure for Issuance of Rules and Regulations. Section 40 — Procedure for Issuance of Orders. Section 41 — Hearings by Commission. Section 42 — Enforcement of Title.

Section 43 — Court Review of Orders. Section 44 — Jurisdiction of Offenses and Suits. Section 47 — Validity of Contracts. Section 48 — Violation of Title. Section 50 — Construction with Other Laws.

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Registration of Investment Companies. Ineligibility of Certain Affiliated Persons and Underwriters. Affiliations of Directors. Offers of Exchange. Functions and Activities of Investment Companies. Changes in Investment Policy. Size of Investment Companies. Investment Advisory and Underwriting Contracts. Transactions of Certain Affiliated Persons and Underwriters. Capital Structure. Proxies ; Voting Trusts ; Circular Ownership.

Distribution, Redemption, and Repurchase of Redeemable Securities. Registration of Securities Under Securities Act of Plans of Reorganization. Unit Investment Trusts. Periodic Payment Plans. Face-Amount Certificate Companies. Bankruptcy of Face-Amount Certificate Companies. Accounts and Records. Accountants and Auditors. Destruction and Falsification of Reports and Records. Unlawful Representations and Names. Breach of Fiduciary Duty.

Larceny and Embezzlement. Rules and Regulations; Procedure for Issuance. Orders; Procedure for Issuance. Hearings by Commission. Enforcement of Title. Court Review of Orders. Jurisdiction of Offenses and Suits. Information Filed With Commission.

Annual Reports of Commission; Employees of the Commission. Validity of Contracts. Effect on Existing Law. Separability of Provisions. Short Title. Effective Date. Functions and Activities of Business Development Companies.

Qualifications of Directors. Transactions With Certain Affiliates. Incorporation of Provisions. Jones v. Archived PDF from the original on Retrieved Washington University Law Review. ISSN The purpose of the Act was to protect investors at all costs. As financial markets have evolved over the decades, so has the Investment Company Act, though at its core its purpose remains the same.

The American Presidency Project. Securities and Exchange Commission. Mutual Funds. Investing Essentials. Finra Exams. Your Money. Personal Finance. Your Practice. Popular Courses. Table of Contents Expand. Table of Contents. Investment Company Act of How It Works. Understanding the Act. Defining an Investment Company. Dodd-Frank Act and Partial Repeal. The Bottom Line. What Is the Investment Company Act of ?

Key Takeaways The Investment Company Act of is an act of Congress that regulates the formation of investment companies and their activities. Companies seeking to avoid the product obligations and requirements of the Act may be eligible for an exemption. The Act has gone through many changes over the decades as financial markets have evolved and become more complex.

Article Sources. Investopedia requires writers to use primary sources to support their work. These include white papers, government data, original reporting, and interviews with industry experts. We also reference original research from other reputable publishers where appropriate.

You can learn more about the standards we follow in producing accurate, unbiased content in our editorial policy. Compare Accounts. The offers that appear in this table are from partnerships from which Investopedia receives compensation. This compensation may impact how and where listings appear.

Investopedia does not include all offers available in the marketplace. Deregulation Deregulation is the reduction or elimination of government power over a particular industry, usually enacted to try to boost economic growth. Open-End Management Company An open-end management company is a type of investment company responsible for the management of open-end funds.

Partner Links. Related Articles. Investing Essentials Introduction to Institutional Investing.

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The Investment Company Act of 1940 03

Section 1 — Findings and Declaration of Policy.

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Doji candle patterns forex Rule 17a — Exemption for transactions with certain subadvisory affiliates. Section 26 — Unit Investment Trusts. Rule 3a-8 — Certain research and development companies. Rule 12b-1 — Distribution of shares by registered open-end management investment company. Section 16 — Board of Directors. Section 37 — Larceny and Embezzlement.
Paying off student loans early vs investing in penny Section 25 — Reorganization Plans; Reports by Commission. Section 5 — Subclassification of Management Companies. Rule 8b — Amendments. Rule 3a-6 — Foreign banks and foreign insurance companies. Rule 27f-1 — Notice of right of withdrawal required to be mailed to periodic payment plan certificate holders and exemption from section 27 f for certain periodic payment plan certificates.
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Forex channels Rule 22e-1 — Exemption from section 22 e of the Act during annuity payment period of variable annuity contracts participating in certain registered separate accounts. Rule 18c-1 — Exemption of privately held indebtedness. Rule 8b — Additional information. Section 61 — Capital Structure. Rule 27g-1 — Election to be governed by section 27 h.

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