Investment Company Act

A purchase or sale transaction between registered investment companies or separate series of registered investment companies, which are affiliated persons, or affiliated persons of affiliated ...
This is the rule that requires certain investment companies to report their proxy voting
(a) Findings. Upon the basis of facts disclosed by the record and reports of the Securities and Exchange Commission made pursuant to section 30 of ...
The investment adviser of a registered investment company shall be deemed to have a fiduciary duty with respect to the receipt of compensation for services
This rule has to do with the purchase of securities on margin; joint trading accounts; short sales of securities
Shot of a young businesswoman looking stressed while working at her desk in a modern office
It shall be unlawful for any of the following persons to serve or act in the capacity of employee, officer, director, member of an advisory ...
The Investment Company Act of 1940Section 2 -- Definitions Definitions. When used in this title, unless the context otherwise requires-- "Advisory board" means a board, ...
Management companies are further divided into diversified companies and non-diversified companies, defined as follows

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