Investment Company Determination Under the 1940 Act: Exemptions and Exceptions |
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Page v
... Foreign Banks and Foreign Insurance Companies - Rule 3a - 6 683 Chapter 30 Issuers of Asset - Backed Securities - Rule 3a - 7 .......... 693 Chapter 31 Research and Development Companies - Rule 3a - 8 707 PART FOUR : OTHER ISSUERS ...
... Foreign Banks and Foreign Insurance Companies - Rule 3a - 6 683 Chapter 30 Issuers of Asset - Backed Securities - Rule 3a - 7 .......... 693 Chapter 31 Research and Development Companies - Rule 3a - 8 707 PART FOUR : OTHER ISSUERS ...
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... Foreign Banks ................... 340 3 . State - Chartered Member and Nonmember Banks and Bank Receivers ........... 342 4 . Foreign Banks , Trust Companies , Credit Unions , and Similar Nonbank Institutions .... 343 1 . § 11.2 Special ...
... Foreign Banks ................... 340 3 . State - Chartered Member and Nonmember Banks and Bank Receivers ........... 342 4 . Foreign Banks , Trust Companies , Credit Unions , and Similar Nonbank Institutions .... 343 1 . § 11.2 Special ...
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Exemptions and Exceptions Robert H. Rosenblum. Chapter 29 Foreign Banks and Foreign Insurance Companies - Rule 3a - 6 ........ $ 29.1 Introduction ..... 683 685 § 29.2 Rule 3a - 6 ............. 687 § 29.3 The Treatment of Foreign Banks ...
Exemptions and Exceptions Robert H. Rosenblum. Chapter 29 Foreign Banks and Foreign Insurance Companies - Rule 3a - 6 ........ $ 29.1 Introduction ..... 683 685 § 29.2 Rule 3a - 6 ............. 687 § 29.3 The Treatment of Foreign Banks ...
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Contents
V | 3 |
VI | 27 |
VII | 63 |
VIII | 77 |
IX | 95 |
X | 151 |
XII | 153 |
XIII | 187 |
LI | 595 |
LIV | 615 |
LV | 631 |
LVIII | 637 |
LXI | 665 |
LXII | 683 |
LXV | 693 |
LXVIII | 707 |
Common terms and phrases
1940 Act Release annuity contract Application assets beneficial owners certificates of deposit Commission commodity pool common trust fund company under Section company's Corp deemed definition of investment employee benefit Employee Benefit Plans entity face-amount certificate face-amount certificate company finance subsidiary foreign banks government securities income insurance company interests investment adviser investment securities issuer July 18 Letter Aug Letter Dec Letter Mar limited partnership loans majority-owned subsidiaries Mortgage mutual fund No-Action Letter Apr No-Action Letter Feb No-Action Letter July No-Action Letter Nov No-Action Letter Oct No-Action Letter Sept offshore fund parent company participants percent permitting person primarily engaged private investment company Proposing Release provides purposes of Section pursuant qualified purchaser real estate registered investment company rely upon Section repurchase agreements SEC No-Action Letter securities issued separate account Staff has taken supra note taken the position tion Transfer Binder voting securities