Investment Company Act of 1940

Statute

§
1	Findings and Declaration of Policy Findings §1.a Policy §1.b
2	Definitions Definitions Advisory board §1.a.1 Advisory board §1.a.2 Advisory board §1.a.3 Advisory board §1.a.4 Advisory board §1.a.5 Advisory board §1.a.6 Advisory board §1.a.7 Advisory board §1.a.8 Advisory board §1.a.9 Advisory board §1.a.10 Advisory board §1.a.11 Advisory board §1.a.12 Advisory board §1.a.13 Advisory board §1.a.14 Advisory board §1.a.15 Advisory board §1.a.16 Advisory board §1.a.17 Advisory board §1.a.18 Advisory board §1.a.19 Advisory board §1.a.20 Advisory board §1.a.2 Advisory board §1.a.1 Advisory board §1.a.1Advisory board §1.a.1 Advisory board §1.a.1 Advisory board §1.a.1 Policy §1.b
3	Definition of Investment Company
4	Classification of Investment Companies
5	Subclassification of Management Companies
6	Exemptions
7	Transactions by Unregistered Investment Companies
8	Registration of Investment Companies

Rules & Regulations

0-1	Definition of terms used in this part
0-2	General requirements of papers and
0-3	Amendments to registration statements and
0-4	Incorporation by reference
0-5	Procedure with respect to applications and
0-8	Payment of fees
0-10	Small entities under the Investment
0-11	Customer identification programs
2a-1	Valuation of portfolio securities in special
2a-2	Effect of eliminations upon valuation of
2a3-1	Investment company limited partners not
2a-4	Definition of ''current net asset value'' for
2a-6	Certain transactions not deemed assignments
2a-7	Money market funds
2a19-2	Investment company general partners not
2a19-3	Certain investment company directors not
2a41-1	Valuation of standby commitments by
2a51-1	Definition of investments for purposes of
2a51-2	Definitions of beneficial owner for certain
2a51-3	Certain companies as qualified purchasers
3a-1	Certain prima facie investment companies
3a-2	Transient investment companies
3a-3	Certain investment companies owned by
3a-4	Status of investment advisory programs
3a-5	Exemption for subsidiaries organized to
3a-6	Foreign banks and foreign insurance companies
3a-7	Issuers of asset-backed securities
3a-8	Certain research and development companies
3c-1	Definition of beneficial ownership for certain
3c-2	Definition of beneficial ownership in small
3c-3	Definition of certain terms used in section
3c-4	Definition of ''common trust fund'' as used in
3c-5	Beneficial ownership by knowledgeable
3c-6	Certain transfers of interests in section
5b-1	Definition of ''total assets''
5b-2	Exclusion of certain guarantees as securities
5b-3	Acquisition of repurchase agreement or
6b-1	Exemption of employees' securities company
6c-3	Exemptions for certain registered variable
6c-6	Exemption for certain registered separate
6c-7	Exemptions from certain provisions of
6c-8	Exemptions for registered separate accounts
6c-10	Exemption for certain open-end management
6d-1	Exemption for certain closed-end investment
6e-2	Exemptions for certain variable life insurance
6e-3(T)	Temporary exemptions for flexible premium
7d-1	Specification of conditions and
7d-2	Definition of ''public offering'' as used in
8b-1	Scope of 2708b-1 to 2708b-33
8b-2	Definitions
8b-3	Title of securities
8b-4	Interpretation of requirements
8b-5	Time of filing original registration statement
8b-10	Requirements as to proper form
8b-11	Number of copies; signatures; binding
8b-12	Requirements as to paper, printing and
8b-13	Preparation of registration statement or report
8b-14	Riders; inserts
8b-15	Amendments
8b-16	Amendments to registration statement
8b-20	Additional information
8b-21	Information unknown or not available
8b-22	Disclaimer of control
8b-23	Incorporation by reference
8b-24	Summaries or outlines of documents
8b-25	Extension of time for furnishing information
8b-30	Additional exhibits
8b-31	Omission of substantially identical documents
8b-32	Incorporation of exhibits by reference
8b-33	XBRL-Related Documents
8f-1	Deregistration of certain registered
10b-1	Definition of regular broker or dealer
10e-1	Death, disqualification, or bona fide
10f-1	Conditional exemption of certain
10f-2	Exercise of warrants or rights received on
10f-3	Exemption for the acquisition of securities
11a-1	Definition of ''exchange'' for purposes of
11a-2	Offers of exchange by certain registered
11a-3	Offers of exchange by open-end investment
12b-1	Distribution of shares by registered
12d2-1	Definition of insurance company for purposes
12d3-1	Exemption of acquisitions of securities
13a-1	Exemption for change of status by
14a-1	Use of notification pursuant to regulation E
14a-2	Exemption from section 14(a) of the Act for
14a-3	Exemption from section 14(a) of the Act for
15a-1	Exemption from stockholders' approval of
15a-2	Annual continuance of contracts
15a-3	Exemption for initial period of investment
15a-4	Temporary exemption for certain investment
16a-1	Exemption for initial period of directors of
17a-1	Exemption of certain underwriting
17a-2	Exemption of certain purchase, sale, or
17a-3	Exemption of transactions with fully owned
17a-4	Exemption of transactions pursuant to certain
17a-5	Pro rata distribution neither ''sale'' nor
17a-6	Exemption for transactions with portfolio
17a-7	Exemption of certain purchase or sale
17a-8	Mergers of affiliated companies
17a-9	Purchase of certain securities from a money
17a-10	Exemption for transactions with certain
17d-1	Applications regarding joint enterprises or
17d-2	Form for report by small business investment
17d-3	Exemption relating to certain joint enterprises
17e-1	Brokerage transactions on a securities
17f-1	Custody of securities with members of
17f-2	Custody of investments by registered
17f-3	Free cash accounts for investment
17f-4	Custody of investment company assets with
17f-5	Custody of investment company assets
17f-6	Custody of investment company assets with
17f-7	Custody of investment company assets with
17g-1	Bonding of officers and employees of
17j-1	Personal investment activities of investment
18c-1	Exemption of privately held indebtedness
18c-2	Exemptions of certain debentures issued by
18f-1	Exemption from certain requirements of
18f-2	Fair and equitable treatment for holders of
18f-3	Multiple class companies
19a-1	Written statement to accompany dividend
19b-1	Frequency of distribution of capital gains
20a-1	Solicitation of proxies, consents and
22c-1	Pricing of redeemable securities for
22c-2	Redemption fees for redeemable securities
22d-1	Exemption from section 22(d) to permit sales
22d-2	Exemption from section 22(d) for certain
22e-1	Exemption from section 22(e) of the Act
22e-2	Pricing of redemption requests in
23c-1	Repurchase of securities by closed-end
23c-2	Call and redemption of securities issued by
23c-3	Repurchase offers by closed-end companies
24b-1	Definitions
24b-2	Filing copies of sales literature
24b-3	Sales literature deemed filed
24e-1	Filing of certain prospectuses as post
24f-2	Registration under the Securities Act of
26a-1	Payment of administrative fees to the
26a-2	Exemptions from certain provisions of
27a-1	Conditions for compliance with and
27a-2	Exemption from section 27(a)(3) and section
27a-3	Exemption from section 27(a)(4) and section
27c-1	Exemption from section 27(c)(1) and section
27d-1	Reserve requirements for principal
27d-2	Insurance company undertaking in lieu of
27e-1	Requirements for notice to be mailed to
27f-1	Notice of right of withdrawal required to
27g-1	Election to be governed by section 27(h)
27h-1	Exemptions from section 27(h)(4) for certain
28b-1	Investment in loans partially or wholly
30a-1	Annual reports for unit investment trusts
30a-2	Certification of Form N-CSR and Form N-Q
30a-3	Controls and procedures
30b1-1	Semi-annual report for registered
30b1-2	Semi-annual report for totally-owned
30b1-3	Transition reports
30b1-4	Report of proxy voting record
30b1-5	Quarterly report
30b2-1	Filing of reports to stockholders
30d-1	Filing of copies of reports to shareholders
30e-1	Reports to stockholders of management
30e-2	Reports to shareholders of unit investment
30h-1	Applicability of section 16 of the Exchange
31a-1	Records to be maintained by registered
31a-2	Records to be preserved by registered
31a-3	Records prepared or maintained by other
32a-1	Exemption of certain companies from
32a-2	Exemption for initial period from vote of
32a-3	Exemption from provision of section 32(a)(1)
32a-4	Independent audit committees
34b-1	Sales literature deemed to be misleading
35d-1	Investment company names
38a-1	Compliance procedures and practices of
45a-1	Confidential treatment of names and
57b-1	Exemption for downstream affiliates of
60a-1	Exemption for certain business development

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