Investment Company Act of 1940 (US)

URI: https://gptkb.org/entity/Investment_Company_Act_of_1940_(US)
GPTKB entity
Statements (33)
Predicate Object
gptkbp:instanceOf gptkb:United_States_federal_law
gptkbp:administeredBy gptkb:U.S._Securities_and_Exchange_Commission
gptkbp:amendedBy gptkb:Dodd-Frank_Wall_Street_Reform_and_Consumer_Protection_Act
gptkbp:appliesTo companies engaged in investing, reinvesting, and trading in securities
gptkbp:citation gptkb:15_U.S.C._§§_80a-1–80a-64
gptkbp:dateEnacted August 22, 1940
gptkbp:enactedBy gptkb:United_States_Congress
gptkbp:excludes hedge funds
venture capital funds
private investment funds
https://www.w3.org/2000/01/rdf-schema#label Investment Company Act of 1940 (US)
gptkbp:location gptkb:United_States
gptkbp:prohibits conflicts of interest
misleading statements
self-dealing
gptkbp:purpose protect investors
regulate organization of investment companies
require disclosure of financial condition
require disclosure of investment policies
gptkbp:regulates mutual funds
closed-end funds
unit investment trusts
investment companies
gptkbp:relatedTo gptkb:Investment_Advisers_Act_of_1940
gptkb:Sarbanes–Oxley_Act
gptkb:Securities_Act_of_1933
gptkb:Securities_Exchange_Act_of_1934
gptkbp:requires registration of investment companies
gptkbp:section Section 3(c)(1)
Section 3(c)(7)
gptkbp:signedBy gptkb:Franklin_D._Roosevelt
gptkbp:bfsParent gptkb:Investment_Companies
gptkbp:bfsLayer 7