Rules & Regulations

The rules contained in §§270.8b-1 to 270.8b-33 shall govern all registration statements pursuant to section 8 of the Act (15 U.S.C. 80a-8), including notifications of ...

(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 ...

This is the so-called Names' rule

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 ...

(a) The application shall be in writing in the form of a letter, must include any supporting documents necessary to make the application complete, and ...

(a) A bank is exempt from the definition of the term “dealer” under section 3(a)(5) of the Act (15 U.S.C. 78c(a)(5)), to the extent that, ...