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investment company act 3 c 1
More than 10.000 documents for investment company act 3 c 1
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... funds under the Investment Advisers Act of 1940, as amended (Advisers Act). First, Section 403 eli... investors in the fund under Rule 203(b)(3)-1 of the Advisers Act. Second, Section 403 provid... vehicle that would be an investment company under the Investment Company Act of 1940, as amend...
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The OCC, Board, FDIC, and SEC (individually, an ``Agency,'' and collectively, ``the Agencies'') are requesting comment on a proposed rule that would implement Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'') which contains certain prohibitions and restrictions on the ability of a banking entity and nonbank financial company supervised by the Board to engage in proprietary trading and have certain interests in, or relationships with, a hedge fund or private equity fund.
...12 CFR Part 44. Board of Governors of the Federal Res...12 CFR Part 351. Securities and Exchange Commission. -------------... Haghshenas, Law Clerk, Office of Investment Adviser Regulation, Division of Investment Managem...
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... FinCEN Extends FBAR Filing Deadline Until June 30, 2013 for Certain Financial Professionals Massachhusetts Adopts Changes to Investment Adviser Registration Exemptions SEC Adopts Change... 2010 ("HIRE Act") and comprised of sections 1471 through 1474 of the Code, create reporting, withho... owned or maintained by an investment company that is registered with the SEC.). Extension Pro...
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The Commodity Futures Trading Commission (``CFTC'' or ``Commission'') is requesting comment on a proposed rule that would implement Section 619 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (``Dodd-Frank Act'') which contains certain prohibitions and restrictions on the ability of a banking entity and nonbank financial company supervised by the Board of Governors of the Federal Reserve System (the ``Board'') to engage in proprietary trading and have certain interests in, or relationships with, a hedge fund or private equity fund (``CFTC Rule''). On November 7, 2011, the Office of the Comptroller of the Currency, Treasury (``OCC''); the Board; the Federal Deposit Insurance Corporation (``FDIC''); and the Securities and Exchange Commission (``SEC'') published a joint pr...
. Federal Register, Volume 77 Issue 30 (Tuesday, February 14, 2012). Federal Register Vol... fund'' as an issuer that would be an investment company, as defined under the Investment Company A...
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... definition of an investment company by section 3(c)(1) of the Investment Company Act of 1940 [15 U....
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Non-Enforcement Matters . New Investment Adviser Rules . On June 22, 2011, the SEC adopted ... are further distinguishable by whether they (1) act as investment advisers solely to venture capi... investment advisers solely to private funds, (3) are family offices providing investment advice so... adviser to a registered investment company must register with the SEC regardless of the size ...
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...PART 1: INVESTMENT SECURITIES. 1.3 - Limitations on dealing in, unde... and sell for its own account investment company shares provided that:. (i) The portfolio of the in...
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... "SEC") adopted Final Rules (the "Final Rules")1 implementing amendments to the Investment Advisers.... March 30, 2012 Compliance Date for Registration. Effective ....e., an entity that would be an investment company under the Investment Company Act of 1940 (the "Inv...
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... dealer, as those terms are defined in Section 3(a) of the Securities Exchange Act of 1934 (15 U.S..C. 78c(a));. (ii) Who is an investment adviser, as that term is defined in Section 202(a)...(iii) Who is an investment company, as defined in Section 3 of the Investment Company...
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... with Rule 506 of Regulation D and Rule 144A under the Securities Act of 1933, as amended ("Sec... partnership interests, limited liability company interests, shares and other interests offered to i... a private fund (i.e., a fund relying on Section 3(c)(1) or Section 3(c)(7) of the Investment Company...
