Annual Review

Investment Company Act of 1940 – Section 31(a) and Rule 31a-2 Application of Rule 38a-1 to a Closed-End Investment Company’s Principal Underwriters November 10, 2004 ...

This is the final SEC rule commonly known as "the compliance rule." It establishes compliance obligations for investment advisers and investment companies. It came out ...

This is the proposed rule that details the compliance obligations of investment advisers and investment companies. This came out in 2003.