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Investment Company Act of 1940 Section 30h Form
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People also ask
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What is Section 32 of the Investment Company Act?
Section 32(a) of the 1940 Act prohibits a fund from filing any financial statement signed or certified by an independent public accountant unless the selection of that accountant by a majority of the members of the board of directors who are not interested persons of the fund has been submitted to shareholders for ... -
What is a 3c5 exemption?
Meaning that if you want to file a 3(c)5 you're looking at allocating at least 55% of your portfolio directly to real estate. The remaining 45% is broken down even further into two more tiers. First, an additional 25% of the portfolio must be in real estate related interests. -
What is the exemption for the Investment Company Act?
The 3(c)(7) exemption is part of the Investment Company Act of 1940 and allows private funds to avoid some SEC regulations, which include SEC registration and public disclosure. Investment in a 3C7 fund is limited to qualified purchasers. U.S. Securities and Exchange Commission. -
What is the 3C1 exemption from the Investment Company Act?
3C1 refers to a portion of the Investment Company Act of 1940 that allows private investment companies to be considered exceptions to certain regulations and reporting requirements stipulated by the Securities and Exchange Commission (SEC). -
What is covered by the Investment Company Act of 1940?
Considered one of the most important pieces of regulation governing the stock market, the Investment Company Act of 1940 is a law that Congress passed to define and regulate mutual funds and closed-end funds, as well as hedge funds, private equity funds, and holding companies. -
Who does the Investment Company Act apply to?
The Investment Company Act applies to all investment companies, but exempts several types of investment companies from the act's coverage. The most common exemptions are found in Sections 3(c)(1) and 3(c)(7) of the act and include hedge funds. -
How to avoid registration under the Investment Company Act of 1940?
Under Section 3(c)(1) of the 1940 Act, a fund is not required to register as an investment company if it does not offer its securities publicly, or sell its securities to more than 100 investors. -
What is Section 31 A of the Investment Company Act of 1940?
(a) Every registered investment company, and every underwriter, broker, dealer, or investment adviser which is a majority-owned subsidiary of such a company, shall maintain and keep current the accounts, books, and other documents relating to its business which constitute the record forming the basis for financial ...
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