registered investment company

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Related to registered investment company: Form N-2, Investment Company Act of 1940

Registered investment company

An investment firm which is registered with the SEC and complies with certain stated legal requirements.
Copyright © 2012, Campbell R. Harvey. All Rights Reserved.

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.
Farlex Financial Dictionary. © 2012 Farlex, Inc. All Rights Reserved

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.
Wall Street Words: An A to Z Guide to Investment Terms for Today's Investor by David L. Scott. Copyright © 2003 by Houghton Mifflin Company. Published by Houghton Mifflin Company. All rights reserved. All rights reserved.
References in periodicals archive ?
Exchange-Traded Equity Securities, Securities Issued by a Registered Investment Company (mutual funds), Cash or Cash Equivalents, etc.).
Second, the adviser could not act as an adviser to any registered investment company. Third, the adviser may not have custody of client funds or securities.
The SEC's order will find that State Street willfully violated Section 34(b) of the Investment Company Act of 1940 and caused violations of Section 31(a) of the Investment Company Act and Rule 31a-1(b) by providing its registered investment company custody clients with trade confirmations and monthly transaction reports that were materially misleading in light of the representations it made about how it priced foreign currency exchange transactions.
UrbanAmerica is a minority-controlled, registered investment company that seeks to make positive social and economic changes in communities while attaining high fiscal returns for its investors.
EAB is an SEC registered investment company that provides a series of proprietary alpha generating and risk mitigating strategies for retail, institutional and family office investors.
Foreign pension funds would also be exempt from the Foreign Investment in Real Property Tax Act of 1980 (FIRPTA) under the provision that extends the inclusion of a registered investment company within the definition of a "qualified investment entity" under Section 897 of the Tax Code through Dec.
The DPA says that Herckis cannot serve as a fund administrator or otherwise provide any services to any hedge fund for five years, and he also cannot associate with any broker-dealer, investment advisor or registered investment company.
The HIT is a registered investment company that invests in housing and economic development projects nationwide to produce competitive returns for its investors.
21 March 2019 - Guernsey registered investment company Hipgnosis Songs Fund Ltd.

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