investment company definition

• Investment companies: Eligible portfolio company; definition,

• FR, October 31, 2006
• Rules
• Securities and Exchange Commission

• 15 USC 80 - Sec. 80a-3. Definition of investment company

• U.S. Code - Title 15: Commerce and Trade

• Investment companies: Eligible portfolio company; definition,

• FR, October 31, 2006
• Proposed rules
• Securities and Exchange Commission

• 17 CFR 275.205-1 - Definition of “investment performance” of an investment company and “investment record” of an appropriate index of securities prices.

• Code of Federal Regulations - Title 17: Commodity and Securities Exchanges

• Investment companies: Research and development companies; nonexclusive safe harbor from investment company definition,

• FR, December 03, 2002
• Proposed rules
• Securities and Exchange Commission

• Investment companies: Research and development companies; nonexclusive safe harbor from investment company definition,

• FR, June 20, 2003
• Rules
• Securities and Exchange Commission

• 12 CFR 218.775 - Exemption from the definition of “broker” for banks effecting certain excepted or exempted transactions in investment company securities.

• Code of Federal Regulations - Title 12: Banks and Banking

• Definition of Eligible Portfolio Company under the Investment Company Act of 1940

• FR, May 20, 2008
• Rules
• Securities and Exchange Commission

• A Proposal to Revise the Sec Instructions for Reporting Waivers of Corporate Codes of Ethics for Conflicts of Interest

Enron's collapse focused attention on its application of its Code of Ethics to related-party transactions. That focus produced section 406 of the Sarbanes-Oxley Act of 2002, which attempts to regulate conflicts of interest between officers and their companies through codes of ethics that public companies adopt. Pursuant to SOX section 406(a), the Securities and Exchange Commission issued new regulations requiring each public company to disclose whether it has a code of ethics, and if a company has not adopted such a code, to explain why it has chosen not to do so. SEC rules also require each company that has a code to disclose any waiver of the code for certain officers whom the SEC rules identify, in a timely manner under Item 5.05 of Form 8-K. However, some companies have adopted a hy...

...Under the SECs current definition of the term "waiver"-the approval of a material de... is itself not clearly revealed to the investment community. This proposal would still leave to each...

• Yale Journal on Regulation
• Vol. 24 Nbr. 2, July 2007

• Investment companies: Eligible portfolio company; definition,

• FR, November 08, 2004
• Proposed rules
• Securities and Exchange Commission