Investment Company Act of 1940 and Relevant Rules: Including Selected Provisions of Subchapter M of the Internal Revenue Code and Related Regulations |
From inside the book
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Page 28
... means a natural person or a company . ( 29 ) " Principal underwriter " of or for any investment company other than a closed- end company , or of any security issued by such a company , means any underwriter who as principal purchases ...
... means a natural person or a company . ( 29 ) " Principal underwriter " of or for any investment company other than a closed- end company , or of any security issued by such a company , means any underwriter who as principal purchases ...
Page 58
... means an investment company which is engaged or proposes to engage in the business of issuing face - amount certificates of the installment type , or which has been engaged in such business and has any such certificate outstanding . ( 2 ) ...
... means an investment company which is engaged or proposes to engage in the business of issuing face - amount certificates of the installment type , or which has been engaged in such business and has any such certificate outstanding . ( 2 ) ...
Page 136
... means the security held by a securityholder after complet- ing an exchange pursuant to an exchange offer ; ( 2 ) " Administrative fee " means any fee , other than a sales load , deferred sales load or redemption fee , that is ( i ) ...
... means the security held by a securityholder after complet- ing an exchange pursuant to an exchange offer ; ( 2 ) " Administrative fee " means any fee , other than a sales load , deferred sales load or redemption fee , that is ( i ) ...
Common terms and phrases
affiliated person amended amount application asset value board of directors broker cash centum charges class or series Commission company's contractholders custodian death benefit deducted deemed deferred sales load depositor described in paragraph distribution dividend effective date eligible employees exempt from Section existing portfolio company existing separate account extent face-amount certificate company filed fiscal flexible contract insurance company insurance contract investment adviser Investment Company Act issuance issuer management investment company means money market fund net asset value NRSRO outstanding voting securities participating payments period premium principal underwriter prospectus protection of investors Provided redemption refund registered company registered investment company registered management investment registration statement repurchase repurchase agreement respect rules and regulations Securities Act securities and similar Securities Exchange Act securities issued senior securities shareholders shares similar investments specified statement or report thereof tion total assets transactions unit investment trust variable life insurance