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The Investment Company Act of 1940 (commonly referred to as the '40 Act) is an act of Congress which regulates investment funds.It was passed as a United States Public Law (Pub. L. 76–768) on August 22, 1940, and is codified at 15 U.S.C. §§ 80a-1–80a-64.
Section 36(b)(1) of the Investment Company Act of 1940 Harris Associates L.P. , 559 U.S. 335 (2010), is a case decided by the United States Supreme Court in which investors claimed that the fees they paid to an investment advisor were too steep, violating the Investment Company Act of 1940 .
All stockholder derivative actions filed with a court against an investment company or an affiliate 40-8B25 Document or Report 40-8F-2 Initial application for de-registration pursuant to Investment Company Act Rule 0-2 40-APP Applications under the Investment Company Act other than those reviewed by Office of Insurance Products 40-APP/A
Socony-Vacuum Oil Company, 310 U.S. 150 (1940), is a landmark anti-trust decision of the Supreme Court widely cited for the proposition that price-fixing is illegal per se. Socony has been cited and quoted many times for its statements that the rule against price-fixing is sweeping, and was, at least until recently, the most widely cited case ...
The Supreme Court has used the Howey test to define what securities are since its decision in the 1946 SEC v. W. J. Howey Co. case. The Howey test defines securities as investment contracts that involve investment of money or property, in a common enterprise, with profits coming from the sole efforts of people other than the investor. [12]
In a court order Wednesday, U.S. District Judge Stephen R. Bough said the Missouri rule was preempted by federal laws governing investment brokers and was unconstitutionally vague.
Created by Section 4 of the Securities Exchange Act of 1934 (now codified as 15 U.S.C. § 78d and commonly referred to as the Exchange Act or the 1934 Act), SEC enforces the Securities Act of 1933, the Trust Indenture Act of 1939, the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Sarbanes–Oxley Act of 2002, among ...
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