LAWS AND RULES

INVESTMENT COMPANY ACT OF 1940



- Section 2(a)(5)
- Section 2(a)(6)
Section 2(a)(11)
- Section 2(a)(13)
- Section 2(a)(16)
- Section 2(a)(17)
- Section 2(a)(22)
- Section 2(a)(24)
- Section 2(a)(34)
- Section 2(a)(36)
- Section 2(a)(40)
- Section 2(a)(41)
- Section 2(a)(42)
- Section 2(a)(43)
- Section 2(a)(51)
- Section 3(a)
- Section 3(b)
- Section 3(c)
- Section 6
- Rule 2a-51-1
- Rule 2a-51-2
- Rule 2a-51-3
- Rule 3a-1
- Rule 3a-2
- Rule 3a-3
- Rule 3a-4
- Rule 3a-5
- Rule 3a-6
- Rule 3a-7
- Rule 3c-1
- Rule 3c-2
- Rule 3c-3
- Rule 3c-4
- Rule 3c-5
- Rule 3c-6
- Rule 6b-1

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Investment Company Act of 1940 - Section 2(a)(11)
Definition of Dealer

          "Dealer" means any person regularly engaged in the business of buying and selling securities for his own account, through a broker or otherwise, but does not include a bank, insurance company, or investment company, or any person insofar as he is engaged in investing, reinvesting, or trading in securities, or in owning or holding securities, for his own account, either individually or in some fiduciary capacity, but not as a part of a regular business.


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