16. Section 3(a)(2) A bank guarantee of an industrial development bond is exempt under Section 3(a)(2) as a security issued by a bank. The underlying IDB likewise would be exempt under Section 3(a)(2), either because it satisfies the specific requirements applicable to IDBs or because it is a security guaranteed by a bank. 17. Section 3(a)(2)

2.A.(1) through 2.A.(12), below. If you are submitting an annual updating amendment to your SEC registration and you are no longer eligible to register with the SEC, check Item 2.A.(13). Part 1A Instruction 2 provides information to help you determine whether you may affirmatively respond to each of these items. You (the adviser):

Section Comment; Communications with CF-OCA. Updated the phone number for contacting CF-OCA staff and provided a link to the new online submission for financial statement waiver or substitution requests. 1430, 2500, 2600, 4110.5, 4110.7, 5310.1, 6220.4, 6230.2, 6340.2, 6350.1, 6410.1, 6410.2, 6410.12, 6500, and 9820

Section 2(b) of the Investment Company Act exempts certain governments, government agencies, and instrumentalities from the provisions of the Investment Company Act. Section 3(b)(1) of the Investment Company Act excludes some issuers from the definition of investment company if they are primarily engaged in a business other than investing ...

Item 2.G. of Part 1B, or Section 4 of Schedule R becomes materially inaccurate; or information you provided in your brochure becomes materially inaccurate (see note below for exceptions). Notes: Part 1: If you are submitting an other-than-annual amendment, you are not . required to update your responses to Items 2, 5, 6, 7, 9.A.(2), 9.B.(2), 9.E.,

Jun 24, 2024 · it becomes a “large accelerated filer,” as defined in Exchange Act Rule 12b-2 Emerging growth companies are permitted: to include less extensive narrative disclosure than required of other reporting companies, particularly in the description of executive compensation

Aug 10, 2012 · Section 2: Financial Information: Item 2.01: Completion of Acquisition or Disposition of Assets: Item 2.02: Results of Operations and Financial Condition: Item 2.03: Creation of a Direct Financial Obligation or an Obligation under an Off-Balance Sheet Arrangement of a Registrant: Item 2.04

May 13, 2020 · Rulemaking Office. The Rulemaking Office reviews and considers whether the Commission should propose, adopt, or amend rules and forms under the Investment Company Act, the Investment Advisers Act, and other federal securities laws that affect the asset management industry.

Advisers Act or who is a “qualified purchaser” as defined in section 2(a)(51)(A) of the Investment Company Act of 1940. [Used in: Part 1A, Item 5; Schedule D] 19. Home State: If your firm is registered with a state securities authority, your firm’s “home state” is the state where it maintains its principal office and place of business.

Section 4(a)(2) To qualify for this exemption, which is sometimes referred to as the “private placement” exemption, the purchasers of the securities must: either have enough knowledge and experience in finance and business matters to be “sophisticated investors” (able to evaluate the risks and merits of the investment), or be able to ...