The Investment Company Act of 1940 and the Investment Advisers Act of 1940, Other Investment Management Regulations: Outline, July 31, 1995 |
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Act Release Advisers Act Rel affiliated person applicable April assets avail bank broker broker-dealer brokerage Capital CFTC clients closed-end fund Commission commodity pool compensation Corporation Dear Registrant directors disclosure employee entity ERISA exemption Federal fiduciary filing Financial foreign Form ADV Form N-1A fund's futures contracts government securities Guidelines income insurance company interest investment adviser investment advisory Investment Company Act Investment Company Institute Investment Management investors issued issuer July June June 25 limited partnership loan Massachusetts business trust Merrill Lynch Mortgage mutual fund NASD open-end options payment PLI Corp portfolio prohibits prospectus proxy purchase purposes pursuant registered investment company registration statement Regulation repurchase agreements requirements SEC staff Section senior security separate account Sept series company shareholders status subsidiary trading transactions underwriter unit investment trusts unregistered violation voting securities wrap fee