(a) For purposes of this section and section 27(h)(4) of the Act (1) “minimum monthly payment, or its equivalent,” shall be the amount of the ...
Every registered open-end management investment company, or series thereof, that is regulated as a money market fund under §270.2a-7, that experiences any of the events ...
(a) A registered separate account shall be exempt from the requirement under paragraph (2) of section 32(a) of the Act that selection of an independent ...
Notwithstanding section 55(a) of the Act, a business development company may acquire securities purchased in transactions not involving any public offering from an issuer, or ...
Notwithstanding subsection (b)(2) of section 57 of the Act, the provisions of subsection (a) of that section shall not apply to any person (a) solely ...
Section 12(d)(1) (A) and (C) of the Act shall not apply to the acquisition by a business development company of the securities of a small ...
Notwithstanding §§240.3a71-2(a)(1) and 240.3a71-3(b)(2), a person shall not include the security-based swap transactions of another person (an “affiliate”) controlling, controlled by, or under common control ...
(a) Where in connection with a succession by merger, consolidation, exchange of securities, acquisition of assets or otherwise, securities of an issuer that are not ...
(a) Every issuer that has a class of securities registered pursuant to section 12 of the Act (15 U.S.C. 781), other than an Asset-Backed Issuer ...
(a) Every foreign private issuer which is subject to Rule 13a-1 (17 CFR 240.13a-1) shall make reports on Form 6-K, except that this rule shall ...