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  2. Investment Company Act of 1940 - Wikipedia

    en.wikipedia.org/wiki/Investment_Company_Act_of_1940

    The Investment Company Act of 1940 (commonly referred to as the '40 Act) is an act of Congress which regulates investment funds. It was passed as a United States Public Law ( Pub. L. 76–768) on August 22, 1940, and is codified at 15 U.S.C. §§ 80a-1 – 80a-64. Along with the Securities Exchange Act of 1934, the Investment Advisers Act of ...

  3. Investment company - Wikipedia

    en.wikipedia.org/wiki/Investment_company

    An investment company is a financial institution principally engaged in holding, managing and investing securities. These companies in the United States are regulated by the U.S. Securities and Exchange Commission and must be registered under the Investment Company Act of 1940. Investment companies invest money on behalf of their clients who ...

  4. Investment Advisers Act of 1940 - Wikipedia

    en.wikipedia.org/.../Investment_Advisers_Act_of_1940

    The Investment Advisers Act of 1940, codified at 15 U.S.C. § 80b-1 through 15 U.S.C. § 80b-21, is a United States federal law that was created to monitor and regulate the activities of investment advisers (also spelled "advisors") as defined by the law. Passing unanimously in both the House and Senate, [1] it is the primary source of ...

  5. Investment Company Institute - Wikipedia

    en.wikipedia.org/wiki/Investment_Company_Institute

    One of these, the Investment Company Act of 1940, clearly defined the responsibilities of investment companies. This same year, what would become ICI was established in New York as the National Committee of Investment Companies, an organization to aid in the administration of the act.

  6. Face-amount certificate company - Wikipedia

    en.wikipedia.org/.../Face-amount_certificate_company

    A face-amount certificate company is an investment company which offers an investment certificate as defined by the United States Investment Company Act of 1940. In general, these companies issue fixed income debt securities that obligate the issuer to pay a fixed sum at a future date. They are generally sold on an installment basis.

  7. U.S. Securities and Exchange Commission - Wikipedia

    en.wikipedia.org/wiki/U.S._Securities_and...

    The Division of Investment Management administers various federal securities laws, in particular, the Investment Company Act of 1940 and Investment Advisers Act of 1940. This division's responsibilities include: assisting the Commission in interpreting laws and regulations for the public and SEC inspection and enforcement staff;

  8. Business Development Company - Wikipedia

    en.wikipedia.org/wiki/Business_Development_Company

    A Business Development Company ("BDC") is a form of unregistered closed-end investment company in the United States that invests in small and mid-sized businesses. This form of company was created by the US Congress in 1980 in the amendments to the Investment Company Act of 1940. Publicly filing firms may elect regulation as BDCs if they meet ...

  9. United States securities regulation - Wikipedia

    en.wikipedia.org/wiki/United_States_Securities...

    Investment Company Act of 1940 – regulating mutual funds; Investment Advisers Act of 1940 – regulating investment advisers; Sarbanes-Oxley Act of 2002 – regulating corporate responsibility; Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 – regulating trade, credit rating, corporate governance, and corporate transparency