Any company primarily engaged, directly or through majority-owned subsidiaries, in one or more of the businesses described in paragraphs (3), (4), and (5) of ... |
(1) Any issuer whose outstanding securities (other than short‑term paper) are beneficially owned by not more than one hundred persons and which is not making ... |
1 Section 3(a)(2) of the 1940 Act defines “investment securities” to include all securities except (A) Government securities, (B) securities issued by employees ... |
30 апр. 2024 г. · Under Section 3(c)(1), a fund may have up to 250 beneficial owners if it meets the definition of a qualifying venture capital fund, a 3(c)(1) ... |
Investment Company Act of 1940. Section 1 — Findings and Declaration of Policy · Section 2 — Definitions · Section 3 — Definition of Investment Company. |
23 дек. 2022 г. · (3) when investment companies issue securities containing inequitable or discriminatory provisions, or fail to protect the preferences and ... |
3C1 funds are privately traded funds that are exempt from SEC registration through the Investment Company Act of 1940. |
An issuer will be deemed not to be an investment company for purposes of the Act; Provided, That all of the outstanding securities of the issuer. |
Section 3(c)(1) of the Investment Company Act provides an exemption from registration for private funds with 100 or fewer beneficial owners. |
6 окт. 2015 г. · Section 3(c)(11) of the 1940 Act explicitly permits a BCT – but not a separate account – to hold assets attributable to a church plan. With. |
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