Investment Company Act

  1. Mutual Fund Or ETF: Which Is Right For You?

    Learn the differences between these investment products and how to take full advantage. ...
  2. Business Owners: Rules For Qualified Retirement ...

    Business owners need to take note of how they handle qualified-plan distributions ...
  3. The Rise Of The Modern Investment Bank

    Get to know a little bit about the institutions whose actions help to guide free ...
  4. 6 Proven Tips For Series 6 Success

    These techniques can help you pass this test without the added stress.
  5. How Mutual Funds Differ Around The World

    Learn which country has the strictest rules on mutual fund construction and why. ...
  6. The SEC: A Brief History Of Regulation

    The SEC has continued to make the market a safer place and to learn from and adapt ...
  1. How are variable annuities regulated?

    Discover the various rules that the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority ...
  2. What is an unregistered mutual fund?

    An unregistered mutual fund is a general name given to investment companies that are not formally registered with the Securities ...
  3. When did mutual funds come to the U.S.A.?

    On March 21,1924, the Massachusetts Investors Trust was incorporated, marking the birth of the American mutual fund industry. ...
  4. Under the Investment Company Act of 1940, an investment company must have minimum ...

    A. $25,000B. $50,000C. $100,000D. $500,000 Correct answer: CAn investment company (mutual fund) must have at ...
Hot Definitions
  1. Flight To Quality

    The action of investors moving their capital away from riskier investments to the safest possible investment vehicles. This ...
  2. Discouraged Worker

    A person who is eligible for employment and is able to work, but is currently unemployed and has not attempted to find employment ...
  3. Ponzimonium

    After Bernard Madoff's $65 billion Ponzi scheme was revealed, many new (smaller-scale) Ponzi schemers became exposed. Ponzimonium ...
  4. Quarterly Earnings Report

    A quarterly filing made by public companies to report their performance. Included in earnings reports are items such as net ...
  5. Dark Pool Liquidity

    The trading volume created by institutional orders that are unavailable to the public. The bulk of dark pool liquidity is ...
Trading Center