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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 .
[3] A major type of company not covered under the Investment Company Act 1940 is private investment companies, which are simply private companies that make investments in stocks or bonds, but are limited to under 250 investors and are not regulated by the SEC. [4] These funds are often composed of very wealthy investors.
Securities of a registered investment company (i.e., mutual funds); and; Offers and sales of certain exempt securities; Among the covered securities are any securities offered pursuant to S.E.C. Rule 506. In effect, the NSMIA gave the SEC exclusive jurisdiction to regulate securities firms.
Jones v. 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. [1] [2] [3] The case held that the court has the jurisdiction to regulate fees of investment advisers ...
The Securities Act of 1933 regulates the distribution of securities to public investors by creating registration and liability provisions to protect investors. With only a few exemptions, every security offering is required to be registered with the SEC by filing a registration statement that includes issuer history, business competition and material risks, litigation information, previous ...
RDS Delivery Service president and CEO Larry Zogby claimed congestion pricing will cost his business, run out of Long Island City in Queens to all New York boroughs, more than a million dollars ...
Only after Trump's hush-money sentencing can NJ officials move to revoke his liquor licenses. A revocation hearing is still pending, officials said.
One of these, the Investment Company Act of 1940, clearly defined the responsibilities of investment companies. [2] This same year, what would become ICI was established in New York as the National Committee of Investment Companies, an organization to aid in the administration of the act. [3]
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