Investment Company Act of 1940
GPTKB entity
Statements (104)
| Predicate | Object |
|---|---|
| gptkbp:instance_of |
gptkb:United_States_federal_law
|
| gptkbp:bfsLayer |
4
|
| gptkbp:bfsParent |
gptkb:The_1933_Glass-Steagall_Act
gptkb:SEC gptkb:Securities_Exchange_Act gptkb:Securities_Exchange_Act_of_1934 gptkb:Securities_and_Exchange_Commission_(SEC) gptkb:U._S._Securities_and_Exchange_Commission gptkb:Securities_Exchange_Commission gptkb:U._S._Securities_and_Exchange_Commission_(SEC) |
| gptkbp:aims_to |
gptkb:Company
|
| gptkbp:allows |
SEC to impose penalties
SEC to conduct inspections |
| gptkbp:amended_by |
gptkb:Investment_Company_Act_Amendments_of_1980
gptkb:Investment_Company_Amendments_Act_of_1970 |
| gptkbp:applies_to |
registered investment companies
|
| gptkbp:appointed_by |
gptkb:financial_services_company
|
| gptkbp:defines |
gptkb:Company
|
| gptkbp:effective_date |
1940-08-22
|
| gptkbp:enacted_by |
gptkb:legislation
|
| gptkbp:encourages |
fair pricing of shares
|
| gptkbp:enforces |
gptkb:SEC_Division_of_Investment_Management
|
| gptkbp:established |
registration requirements
rules for advertising rules for fund governance rules for fund governance structures rules for fund performance comparisons rules for fund share classes rules for fund advertising compliance rules for fund performance advertising standards for investment performance |
| gptkbp:facilitates |
investor education
|
| https://www.w3.org/2000/01/rdf-schema#label |
Investment Company Act of 1940
|
| gptkbp:includes |
closed-end funds
open-end funds provisions for mutual funds private investment companies unit investment trusts provisions for closed-end funds provisions for fund liquidation provisions for unit investment trusts |
| gptkbp:influence |
limitations on leverage
|
| gptkbp:influenced_by |
gptkb:Great_Depression
|
| gptkbp:mandates |
annual reports to shareholders
disclosure of fund changes disclosure of fund performance history disclosure of fund performance metrics disclosure of performance fees shareholder voting rights |
| gptkbp:part_of |
gptkb:Securities_Act_of_1933
gptkb:Securities_Exchange_Act_of_1934 |
| gptkbp:promotes |
transparency in fund operations
|
| gptkbp:provides |
disclosure requirements
guidelines for fund investment strategies guidelines for fund mergers protection against conflicts of interest regulation of mutual funds rules for fund advertising rules for fund compliance rules for fund distribution channels rules for fund investment limits rules for fund investment policies rules for fund liquidation rules for fund performance comparisons rules for fund advertising and sales literature rules for fund compliance and enforcement rules for fund distribution rules for fund governance and oversight rules for fund mergers rules for fund shareholder meetings rules for proxy voting |
| gptkbp:regulates |
investment companies
|
| gptkbp:related_to |
gptkb:Securities_Act_of_1933
gptkb:Investment_Advisers_Act_of_1940 |
| gptkbp:requires |
annual reports
financial statements independent directors performance reporting periodic reporting disclosure of related party transactions audit requirements disclosure of fees disclosure of risks disclosure of fees and expenses disclosure of fund objectives disclosure of fund performance metrics disclosure of fund risks disclosure of fund risks and rewards disclosure of fund strategies disclosure of investment risks disclosure of management fees disclosure of proxy voting policies investment policies disclosure quarterly reports to shareholders disclosure of fund expenses disclosure of fund investment strategies disclosure of portfolio holdings filing of Form N-1 A filing of Form N-2 filing of Form N-3 filing of Form N-4 filing of Form N-6 filing of Form N-8 A shareholder approval for certain transactions |