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About the Book
In recent years an increasing number of enterprises have found they may inadvertently have become investment companies, as defined by the landmark Investment Company Act of 1940. The consequences of inadvertently becoming an investment company can be severe. In some instances, all of the company's transactions may be voided. As a result, diverse business concerns are now focused more intently on investment company status issues. And most underwriters now require opinion of counsel that clients are not investment companies before proceeding with IPOs or other financial transactions.
The Investment Company Determination under the 1940 Act: Exemptions and Exceptions is the best resource for "must-know" information on violations of the 1940 Act and how to avoid them. You'll consult it often for...
Balanced, insight-filled discussion of how investment companies are legally defined;
Exceptions via Securities and Exchange Commission rule;
Firms deemed not to be investment companies and entities that are specifically exempted;
Statutory exceptions for wholly owned securities, holding companies, banks, insurance companies, underwriters, charitable organizations, pension funds, and other entities;
...and much more!
Also featured are citations, a complete bibliography, and an in-depth case table to point you toward current resources for further research.
