Investment Company Act of 1940 (Certain Provisions)
UNDER CONSTRUCTION

Certain Provisions Under the Investment Company Act of 1940

• Section 2(a)(5). Definition of Bank
• Section 2(a)(6). Definition of Broker
• Section 2(a)(11). Definition of Dealer
• Section 2(a)(13). Definition of Employees' Securities Company
• Section 2(a)(16). Definition of Government Security
• Section 2(a)(17). Definition of Insurance Company
• Section 2(a)(22). Definition of Issuer
• Section 2(a)(24). Definition of Majority-Owned Subsidiary
• Section 2(a)(34). Definition of Sale, Sell, Offer to Sell and Offer for Sale
• Section 2(a)(36). Definition of Security
• Section 2(a)(40). Definition of Underwriter
• Section 2(a)(41). Definition of Value
• Section 2(a)(42). Definition of Voting Security
• Section 2(a)(43). Definition of Wholly-Owned Subsidiary
• Section 2(a)(51). Definition of Qualified Purchaser
• Section 3(a). Definition of Investment Company
• Section 3(b). Exemption from Definition of Investment Company
• Section 3(c). Exemption from Definition of Investment Company
• Section 6. Exemptions from the 1940 Act

Certain Rules Under the Investment Company Act of 1940

• Rule 2a-51-1. Definition of Qualifed Purchaser; Certain Calculations
• Rule 2a-51-2. Definition of Beneficial Owner for Certain Purposes Under Sections 3(a)(1) and 3(c)(7)
• Rule 2a-51-3. Certain Companies as Qualified Purchasers
• Rule 3a-1. Certain Prima Facie Investment Compaies
• Rule 3a-2. Transient Investment Companies
• Rule 3a-3. Certain Investment Companies Owned by Companies Which Are Not Investment Companies
• Rule 3a-4. Status of Investment Advisory Programs
• Rule 3a-5. Exemptions For Subsidiaries Organized to Finance the Operations of Domestic or Foreign Companies
• Rule 3a-6. Foreign Banks and Foreign Insurance Companies
• Rule 3a-7. Issues of Asset-Backed Securities
• Rule 3c-1. Definition of Beneficial Ownership for Certain Section 3(c)(1) Funds
• Rule 3c-2. Definition of Beneficial Ownership in Small Business Investment Companies
• Rule 3c-3. Definition of Certain Terms Used In Section 3(c)(1) With Respect to Certain Debt Securities
• Rule 3c-4. Definition of Common Trust Fund as Used in Section 3(c)(3)
• Rule 3c-5. Beneficial Ownership by Knowledgeable Employees and Certain Other Persons
• Rule 3c-6. Certain Transfers of Interests in Section 3(c)(1) and 3(c)(7) Funds
• Rule 6b-1. Exemption of Employee Securities' Company Pending Determination of Application