Investment Company Act of 1940

• United States federal securities legislation (9)

  • Investment Advisers Act of 1940
  • Public Utility Holding Company Act of 1935
  • Sarbanes-Oxley Act of 2002
  • Securities Exchange Act of 1934
  • Securities Investor Protection Act
  • Securities Investor Protection Act
  • The Securities Act of 1933
  • Trust Indenture Act of 1939
  • Foreign Corrupt Practices Act
  • Johnson Act
  • more...

• Financial regulation in the United States

  • NRSROs
  • Rule 144A
  • The Securities Act of 1933
  • Trust Indenture Act of 1939

• United States securities law (32)

  • Blue sky laws
  • Commodity Exchange Act
  • NASAA
  • Rule 10b-5
  • Uniform securities act
  • Uniform securities act
  • Big Boy Letter
  • Financial Industry Regulatory Authority
  • General Securities Principal Exam
  • General Securities Representative Exam
  • Investment Banking Exam
  • Investment Company Products/Variable Life Contracts Representative Exam
  • List of securities examinations
  • Private Securities Litigation Reform Act
  • Public Utility Holding Company Act of 1935
  • Registered Representative
  • Rule 144A
  • SEC Rule 10b5-1
  • Sarbanes-Oxley Act of 2002
  • Scienter
  • Securities Exchange Act of 1934
  • Securities Litigation Uniform Standards Act
  • Securities regulation in the United States
  • Strike suit
  • Taylor v. Standard Gas Co.
  • The Securities Act of 1933
  • Trust Indenture Act of 1939
  • Uniform Combined State Law Exam
  • Uniform Gifts to Minors Act
  • Uniform Investment Adviser Law Exam
  • Uniform Securities Agent State Law Exam
  • United States federal securities legislation
  • United States securities case law
  • more...

• United States federal financial legislation (25)

  • Anti-Gold Futures Act of 1864
  • Bankruptcy Abuse Prevention and Consumer Protection Act
  • Bankruptcy Act of 1898
  • Bankruptcy Reform Act of 1978
  • Commodity Exchange Act
  • Commodity Exchange Act
  • Commodity Futures Modernization Act of 2000
  • Economic Growth and Regulatory Paperwork Reduction Act
  • Foreign Investment and National Security Act of 2007
  • Fraud Enforcement and Recovery Act of 2009
  • Future Trading Act
  • Grain Futures Act
  • Gramm–Leach–Bliley Act
  • Investment Advisers Act of 1940
  • Net capital rule
  • Private Securities Litigation Reform Act
  • Public Law 110-343
  • Rule 144A
  • Sarbanes-Oxley Act of 2002
  • Securities Exchange Act of 1934
  • Securities Litigation Uniform Standards Act
  • The Securities Act of 1933
  • Trust Indenture Act of 1939
  • United States federal banking legislation
  • United States federal commodity and futures legislation
  • United States federal securities legislation
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• Mutual fund fees and expenses (11)

  • 12b-1 fee
  • Deferred sales charge
  • Redemption Fee
  • Sales charge
  • Mutual fund fees and expenses (Account Fee)
  • Mutual fund fees and expenses (Account Fee)
  • Mutual fund fees and expenses (Breakpoints)
  • Mutual fund fees and expenses (Exchange Fee)
  • Mutual fund fees and expenses (Expense Ratio)
  • Mutual fund fees and expenses (Load Fund)
  • Mutual fund fees and expenses (No-Load)
  • Mutual fund fees and expenses (Purchase Fee)
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• Funds (85)

  • Closed end
  • Creation unit
  • Funds of funds
  • Hedge funds
  • Late trading
  • Late trading
  • Money market funds
  • Mutual fund shares
  • Net asset value
  • Open-end fund
  • Pooled investment
  • Unit trust
  • 130-30 fund
  • 2003 Mutual-fund scandal
  • Active management
  • Adams Express Company
  • Alberta Investment Management
  • Australian Ethical Investment
  • Black Eagle Trust
  • Bond fund
  • Collateralized debt obligation
  • Common contractual fund
  • Designation Scheme
  • Dow Jones Islamic Fund
  • Exchange-traded funds
  • Extended hours trading
  • Fond commun de placement
  • Free Enterprise Action Fund
  • Fund Platform
  • Global macro
  • Government Investment Pool
  • Government and pension funds
  • Gross asset value
  • Hermitage Capital Management
  • ICVC
  • IberoAmerican Federation of Mutual Funds
  • Income fund
  • Index fund
  • Investment trusts of the United Kingdom
  • Investor
  • Iraq Relief and Reconstruction Fund
  • Jadda Capital Management, LLC
  • Korea Fund
  • Labour Sponsored Venture Capital Corporation
  • Lifeline Express China
  • Lipper average
  • List of CDO managers
  • List of asset management firms
  • Magellan Fund
  • Managed Futures Account
  • Manager of managers fund
  • Montana Management
  • Multi-manager investment
  • Mutual fund families
  • Mutual fund fees and expenses
  • Netherlands Film Fund
  • Neuberger Berman
  • Passive management
  • Paul Singer (businessman)
  • Relative value (economics)
  • Reserve Primary Fund
  • SICAV
  • Short-Term Investment Fund
  • Slush fund
  • Social Enterprise Investment Fund
  • Socially-r- esponsible investing
  • Stock fund
  • Strategic Block Investing
  • Strategic Sustainable Investing
  • Synthetic CDO
  • Target date fund
  • Terror-free investing
  • The Timothy Plan
  • Theorica
  • Umbrella fund
  • Unit Investment Trust
  • United States Navy Working Capital Fund
  • Unitised insurance fund
  • Value Partners (Hong Kong)
  • Venture Capital Trust
  • Vice Fund
  • Virgin Superannuation
  • Vulture fund
  • Wellington Fund
  • Xinhua A50 China Tracker
  • iFund
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• Investment (20)

  • Master-feeder
  • Net investment
  • Annuity (European financial arrangements)
  • Investment management
  • Investment advisory
  • Investment advisory
  • Broker-dealer
  • Investment Certificate
  • Market timing
  • Accredited investor
  • Variable annuity
  • Performance fee
  • Funds
  • Mutual fund shares
  • Pooled investment
  • Closed end
  • Late trading
  • Creation unit
  • Net asset value
  • Unit trust
  • Funds of funds
  • more...

• Financial services companies

  • Investment companies
  • Investment company
  • Funds
  • Hedge funds

• Official documents of the United States

  • Internal Revenue Code
  • 15 U.S.C.
  • 12 U.S.C.

• United States Securities and Exchange Commission (18)

  • No-action relief
  • Regulation D
  • Rule 13D
  • EDGAR
  • Fair Fund
  • Fair Fund
  • Registry department
  • Regulation AB
  • Regulation Fair Disclosure
  • Regulation NMS
  • Rule 10b-5
  • Rule 144A
  • SEC Filings
  • SEC Rule 10b5-1
  • Securities Exchange Act of 1934
  • Securities and Exchange Commission appointees
  • The Securities Act of 1933
  • United States Securities and Exchange Commission personnel
  • Wells notice
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• Financial markets (9)

  • Securities regulation
  • Securities
  • Issuer
  • Hurdle rate
  • Transfer agent
  • Transfer agent
  • Initial margin
  • Commodity Exchange Act
  • Creation unit
  • Broker-dealer
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• Stock market

  • Beneficial ownership
  • Equity securities
  • Proxy statements
  • Securities

• Finance (8)

  • Tax deferred
  • Schedule 13g
  • Separate account
  • Treasury management
  • Investment company
  • Investment company
  • Late trading
  • Hurdle rate
  • Transfer agent
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• Legal terms

  • Cease and desist
  • Administrative proceeding
  • Dispositive
  • Issuer

• See also (20)

  • 457 plan
  • 1040A
  • 1040 Form
  • Investment adviser
  • No-action letter
  • No-action letter
  • Deferral
  • 80A
  • Uits
  • Commodity pools
  • Investment Company Institute
  • Self Regulatory Organization
  • Derivative security
  • Registered investment adviser
  • UBTI
  • Tax exempt
  • Small Business Investment Companies
  • Business development company
  • Capital formation
  • Interest rate parity
  • Prospectuses
  • more...

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