...Corporation, 13 SJE.C. 340. 'Oyden Corporation, 28 SEC 334 (1948). Subsequent to this order, Ogden registered as an Investment company under the Investment Company Act of 1940. '306U.S. 307 (1939). ' Prior to June 20. 1941, Ogden had received payments of interest on the note...

...section 12 of the Exchange Act or subject to the requirements of section 15(d) of such Act or any company registered as an investment company under the Investment Company Act of 1940, 15 USC 80a-l, et seq., as amended, naming such company. Instruction to Paragraph (e) of Item 401: For...

...similar form of enterprise located out-side the United States, its territories or possessions which is registered as an investment company under the Invest-ment Company Act of 1940 and whose securities are registered in accordance with the Securities Act of 1933, or which is otherwise...

...redeemable, and transferable to anyone who has executed a managing agency agreement with the bank. The fund was registered as an investment company under the Investment Company Act of 1940. The bank was the underwriter of the fund's units of participation within the meaning of that Act. The...

...customer tendered between $10,000 and ?500,000 to the bank, together with an authorization naming the bank the customer's managing agent. The customer was then...under the Investment Company Act of 1940, was managed by the bank as investment 4_4/ advisor. The Court found that the bank's activities were substantially...

...customer tendered between $10,000 and 5500,000 to the bank, together with an authorization naming the bank the customer's managing agent. The customer was then...was registered as an investment company under the Investnent Company Act of 1940, was managed by the bank as investment I*/ advisor. The Court found...

...as "Units of Partnership Participation"). II. THE UNIT INVESTMENT TRUST The UIT will be formed and registered as an investment company under the Investment Company Act of 1940. As requirel by Section 4(2) of the 1940 Act, it will be organized under a contract with a bank as trustee....

...Section 12 of the Exchange Act or subject to the requirements of Section I5(d) of that Act or any company registered as an investment company under the Investment Company Act of 1940; and the nature of any family relationship with any other person nominated for election as a director...

...customer tendered between $10,000 and $500.000 to the bank, together with an authorization naming the bank the customer's managing agent. The customer was then...under the Investment Company Act of 1940. was managed by the 11 Every national tank it require* to be a men** of the Petftr»i ReMrve Svttem. 12 uSC 1232....

...evidenced •Ad secured by a full recourse note or notes of the purchaser); and (5) Is not required to be registered as an investment company under the Investment Company Act of 1940. (C) Eligible portfolio company. For the purposes Of this section, «n eligible pon/olio company" shall...