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Investment Company Act of 1940 |
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Investment Company Act of 1940 Created in 1940 through an act of Congress, this piece of legislation clearly defines the responsibilities and limitations placed upon fund companies that offer investment products to the public. Notes: Enforced and regulated by the SEC, this act clearly sets out the limits regarding filings, service charges, financial disclosure, and fiduciary duties. It is the document that keeps investment companies in check.Investment Company Act of 1940 Legislation that requires investment companies to register with the SEC and that outlines standards by which they must operate. How to thank TFD for its existence? Tell a friend about us, add a link to this page, add the site to iGoogle, or visit webmaster's page for free fun content. |
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| The Investment Company Act of 1940 has a policy to prevent investment companies like RHR from issuing stock that has unequal voting rights or contains inequitable or discriminatory provisions. The election by EMEC to subjecting itself to the Investment Company Act of 1940 was filed with the Securities and Exchange Commission on May 12, 2006. The plaintiffs alleged that American Century charged excessive management fees to three of its largest mutual funds in violation of Section 36(b) of the Investment Company Act of 1940. |
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Investment Company Act of 1940
