WebFor example, the GLD ETF's prospectus says: Shareholders do not have the protections associated with ownership of shares in an investment company registered under the Investment Company Act of 1940 or the protections afforded by the CEA. As a buyer, you need to understand what you are buying. Some "ETFs" aren't really ETFs at all... WebIt shall constitute the use of a materially deceptive or misleading name or title within the meaning of section 35(d) of the Act (15 U.S.C. 80a-34(d)) for a registered investment company to adopt the term “money market” as part of its name or title or the name or title of any redeemable securities of which it is the issuer, or to adopt a ...
SEC.gov Laws and Rules
WebJPMorgan Private Markets Fund, J.P. Morgan Investment Management Inc. and J.P. Morgan Institutional Investments Inc., filed an application on January 19, 2024, requesting an order ... Order Under Section 6(c) of the Investment Company Act of 1940 Granting an Exemption from Sections 18(a)(2), 18(c) and 18(i) of the Act, Under Sections 6(c) and ... WebApr 3, 2024 · In September of 2024, the Securities and Exchange Commission (SEC) announced rule 6C-11, which would allow ETFs to operate within the scope of the … table cover setting
What Is 3C1 and How Is the Exemption Applied? - Investopedia
WebThe Investment Company Act of 1940 is the law that defines the rules under which a mutual fund operates. Mutual funds are one of several types of investment companies -- including closed-end funds ... WebTask Force on the Fund Director's Guidebook, 52 (1): 229–82 (Nov. 1996) The Guidebook is intended for use by directors of investment companies registered under the Investment Company Act of 1940. It should be useful to directors of both open-end investment companies (typically referred to as mutual funds) and closed-end funds. WebMar 31, 1992 · A Bill to Provide for the Registration and Regulation of Investment Companies and Investment Advisers, and For Other Purposes: Hearing on S.R. 3580 Before the S. Comm. of the Comm. on Banking and Currency, 76th Cong., 3d Sess., p. 1114-15 (1940) (statement of David Schenker).In adopting section 12(g) of the … table cover tinted glass