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Investment Company Act of 1940

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  1. Open-Ended Mutual Funds and ETFs: The Shareholder Experience

    Headlines

    Fri, 17 Oct 2014

    Key Takeaways While both mutual funds and ETFs are registered under the Investment Company Act of 1940 , they provide different shareholder experiences. For decades, investors have turned to traditional open-ended mutual funds

  2. A Late September Swoon?

    Headlines

    Fri, 26 Sep 2014

    BlackRock® mutual funds that are registered with the U.S. Securities and Exchange Commission under the Investment Company Act of 1940 (“Funds”) are distributed in the U.S. by BlackRock Investments, LLC (together with its affiliates

  3. BlackRock: Where to Find Value

    Headlines

    Thu, 31 Jul 2014

    BlackRock® mutual funds that are registered with the U.S. Securities and Exchange Commission under the Investment Company Act of 1940 (“Funds”) are distributed in the U.S. by BlackRock Investments, LLC (together with its affiliates

  4. New Reforms to Hit Money Market Funds

    Headlines

    Mon, 28 Jul 2014

    in June 2013) to certain rules under the Investment Company Act of 1940 that govern the operation of money market ..... a type of mutual fund registered under the Investment Company Act of 1940 and regulated under rule 2a-7 of the Act

  5. Risks under Section 18 of the Investment Company Act of 1940

    Commentary

    Fri, 30 May 2014

    Hi, could someone please enumerate the risks of any security that is subject to section 18 of the Investment Company Act of 1940 (company needs to always have at least 200% in cash to cover the outstanding debt of the instrument being

  6. Money Market (In)eligible

    Headlines

    Tue, 25 Feb 2014

    regulatory regime governing money market funds by rolling out a series of changes to Rule 2a-7 under the Investment Company Act of 1940 . The amendments to Rule 2a-7 enacted in 2010 (the 2010 amendments) included changes to the quality

  7. Another sex change operation....

    Commentary

    Thu, 6 Feb 2014

    proposal to stockholders for their consideration at the Fund's next annual meeting of stockholders. Under the Investment Company Act of 1940 , the elimination of this fundamental investment policy requires stockholder approval. The Board also approved

  8. ACG

    Commentary

    Tue, 14 Jan 2014

    Fund's stockholders at the next annual meeting of stockholders a proposal that the Fund, consistent with the Investment Company Act of 1940 as then in effect, amend its Charter to convert the Fund from a closed-end investment company to an open-end

  9. TSI - slight changes to div policy

    Commentary

    Thu, 12 Dec 2013

    Fund’s accumulated net investment income and/or other sources, subject to the requirements of the Investment Company Act of 1940 . The Directors will continue to regularly monitor conditions and circumstances relating to the quarterly

  10. SWZ tender

    Commentary

    Tue, 3 Dec 2013

    of the Fund will be notified, in accordance with the Securities Exchange Act of 1934, as amended, the Investment Company Act of 1940 , as amended, and other applicable rules and regulations. The Board of Directors of the Fund will continue

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