Section 17 d of the 1940 act
WebeCFR :: 17 CFR Part 270 -- Rules and Regulations, Investment Company Act of 1940 eCFR The Electronic Code of Federal Regulations Title 17 Displaying title 17, up to date as of 4/05/2024. Title 17 was last amended 3/30/2024. view historical versions Title 17 Chapter II Part 270 View Full Text Previous Next Top eCFR Content Web12 Apr 2024 · Notice of an application under section 6(c) of the Investment Company Act of 1940 (the ‘‘Act’’) for an exemption from sections 18(a)(2), 18(c) and 18(i) of the Act and for an order pursuant to section 17(d) of the Act and rule 17d–1 under the Act. Summary of Application: Applicants request an order to permit certain
Section 17 d of the 1940 act
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WebIn addition, Section 60 of the Investment Company Act makes section 12(d) applicable to a BDC to the same extent as if it were a registered closed-end fund. Adopting Release at 6, footnote 16. 7 Rule 12d1-4 will also provide an exemption from the prohibition in Section 17(a) of the Investment Company Act on certain affiliated transactions ... Web28 Feb 2024 · Section 275.206(4)-1 - Investment adviser marketing. As a means reasonably designed to prevent fraudulent, deceptive, or manipulative acts, practices, or courses of business within the meaning of section 206(4) of the Act ( 15 U.S.C. 80b-6(4) ), it is unlawful for any investment adviser registered or required to be registered under section 203 of the …
WebSECTION 17(A) Section 17(a) prohibits first -tier and second-tier affiliates of a fund, acting as principal, from: 1) Knowingly selling any securities or other property (except fund … Web9 Jul 2002 · Section 12 (d) (1) was intended to prevent one investment company from obtaining control of other investment companies and creating complicated pyramidal structures. 4. Section 12 (d) (1) (E) provides that the restrictions of section 12 (d) (1) do not apply to a security that is acquired by an investment company if, among other things, 5 …
WebThe implementation of section 22(d) of the Investment Company Act of 1940 has resulted in a form of retail price maintenance in the mutual fund industry. The justification for this … WebTitle: The Optima Dynamic Alternatives Fund and Optima Asset Management LLC Author: U.S. Securities and Exchange Commission Subject: Order Under Section 6(c) of the Investment Company Act of 1940 Granting an Exemption from Sections 18(a)(2), 18(c) and 18(i) of the Act and Pursuant to Section 17(d) and Rule 17d-1 Under the Act
Web(a) Notwithstanding section 12(d)(3) of the Act, a registered investment company, or any company or companies controlled by such registered investment company (“acquiring company”) may acquire any security issued by any person that, in its most recent fiscal year, derived 15 percent or less of its gross revenues from securities related activities unless …
Web9 May 2002 · Section 17 (d) and Rule 17d-1, taken together, are designed to prevent, among other things, affiliated persons of registered investment companies from taking undue advantage of a Fund in transactions in which such persons and the Fund participate in a joint undertaking. 7 Some element of combination or profit motive generally must be present … lrw constructionWeb8 hours ago · 17. As a result of the conduct described above, Respondent willfully violated Section 206(4) of the Advisers Act and Rule 206(4)-7 thereunder, which require a registered investment adviser to adopt and implement written compliance policies and procedures reasonably designed to prevent violations of the Advisers Act and the rules thereunder. IV. lrwc coupon databaseWeb4 Oct 2024 · 1 Unless otherwise indicated, all section and rule references herein are to the 1940 Act. 2 The Investment Advisers Act of 1940 (Advisers Act) is the primary law that regulates the activities of investment advisers, and all investment advisers (or subadvisers) to registered investment companies are also required to register with the SEC. lrw cabinetsWeb14 Oct 1999 · Section 17(h) generally prohibits a fund from including in its organizational documents any provision that protects a director or officer of a fund against any liability … lrw cabinets allistonWeb13 May 2024 · Investment Advisers Act of 1940 This law regulates investment advisers. With certain exceptions, this Act requires that firms or sole practitioners compensated for … lrwc shoprite matchupWebPURSUANT TO SECTION 17(d) AND RULE 17d -1 UNDER THE ACT . Archstone Alternative Solutions Fund and A.P. Management Company, LLC filed an application on March 19, 2015, and an amendment to the application on July 14, 2015, requesting an order under section 6(c) of the Investment Company Act of 1940 ( Act ) granting an exemption from lrwc shoprite dealsWebGeneral rules and regulations promulgated under the Securities Exchange Act of 1934 (17 CFR Part 240) Forms prescribed under the Securities Exchange Act of 1934; Investment … lrw charles river