registered investment company

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Registered investment company

An investment firm which is registered with the SEC and complies with certain stated legal requirements.

Registered Investment Company

A mutual fund or other investment company that is registered with the SEC. Registered investment companies are required to report their policies and financial conditions, much like a publicly-traded company. Most investment companies in the United States must register with the SEC; they are regulated by the Investment Company Act of 1940.

registered investment company

An investment company that is registered with the SEC and meets the requirements of the Investment Company Act of 1940 with respect to income distribution, fee structure, and diversification of assets.
References in periodicals archive ?
FWCA is a New York limited liability company formed in June 2012 to provide investment management and advisory services to registered investment companies and institutional investors.
The analysis is posted on the SECs website as part of the comment file for a rule proposed by the Commission in December 2015 that is designed to enhance the regulation of the use of derivatives by registered investment companies, including mutual funds, exchange-traded funds (ETFs) and closed-end funds, as well as business development companies.
the Fund's investment adviser, provides fixed income management to a variety of institutional clients including corporations, governmental entities, employee benefit plans and registered investment companies.
Investment advisers also should review the fund's Form N-SAR, Semi-Annual Report for Registered Investment Companies, for potential fund abuses.
The commission similarly has extended the compliance date for related requirements regarding evaluation of internal control over financial reporting and management certification requirements, including certification and related requirements applicable to registered investment companies.
which was founded in 1993, and provides fixed income management to a variety of institutional clients including corporations, governmental entities, employee benefit plans and registered investment companies.
doing business as Insight Investment), the Fund's investment adviser, provides fixed income asset management to a variety of institutional clients including corporations, governmental entities, employee benefit plans, private funds and registered investment companies.
The Securities and Exchange Commission today voted to adopt changes to modernize and enhance the reporting and disclosure of information by registered investment companies and to enhance liquidity risk management by open-end funds, including mutual funds and exchange-traded funds (ETFs).
The differences between the two result from significant dissimilarities between the operating structures of non-registered investment partnerships and registered investment companies.
The Fund is managed by MBIA Capital Management Corp, which was founded in 1993, and provides fixed income management to a variety of institutional clients including corporations, governmental entities, employee benefit plans and registered investment companies.
Levenson, Director of the SECs Boston Regional Office, added, Mutual funds and other registered investment companies should not face overreaching by the very banks hired to safeguard their assets.
This regulation already reduces the reporting responsibility for ERISA schedule of assets bought and sold during the plan year by eliminating, for example, any transactions in government securities, registered investment companies (mutual funds), certain bank certificates of deposit, participations in a bank common or collective trust or insurance company pooled separate accounts and traded securities purchased through a registered broker/dealer.

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