Investment Company Act Of 1940

An investment vehicle that is made up of a pool of funds collected from many investors for the purpose of investing in securities such as stocks, bonds, money market instruments and ...

A rule passed by the Securities and Exchange Commission in an effort to prevent selective disclosure by public companies to market professionals and certain shareholders. The Reg FD rule ...

A government commission created by Congress to regulate the securities markets and protect investors. In addition to regulation and protection, it also monitors the corporate takeovers ...

1. A person legally appointed and authorized to hold assets in trust for another person. The fiduciary manages the assets for the benefit of the other person rather than for his or her ...

A corporation or trust engaged in the business of investing the pooled capital of investors in financial securities. This is most often done either through a closed-end fund or an ...

A form completed by an investment company and filed with the Securities and Exchange Commission in order to withdraw its voluntary election to be regulated as a business development ...

A formal name for a company that sells and manages a portfolio of securities. A management investment company is one of the three fundamental types of investment companies, the other two ...

Find out what you can do during the test to make sure you get a passing score.

Having your firm handle both investments can spell disaster for your returns.

Find out how this regulatory body protects the rights of investors.