This is the SEC's swing pricing rule for certain registered funds
Chief compliance officer. Designate one individual responsible for administering the fund's policies and procedures adopted under paragraph (a)(1) of this section
(a) Filing of papers. All papers required to be filed with the Commission pursuant to the Act or the rules and regulations thereunder shall, unless ...
This Investment Company Act rule permits open-end mutual funds to issue more than one class of voting stock
(a) As used in the rules and regulations prescribed by the Commission pursuant to the Investment Company Act of 1940, unless the context otherwise requires: ...
Management companies are further divided into diversified companies and non-diversified companies, defined as follows
The Investment Company Act of 1940Section 2 -- Definitions Definitions. When used in this title, unless the context otherwise requires-- "Advisory board" means a board, ...
It shall be unlawful for any of the following persons to serve or act in the capacity of employee, officer, director, member of an advisory ...
This rule has to do with the purchase of securities on margin; joint trading accounts; short sales of securities
The investment adviser of a registered investment company shall be deemed to have a fiduciary duty with respect to the receipt of compensation for services