Get the free ORDER UNDER SECTIONS 6(c) AND 6(e) OF THE INVESTMENT COMPANY ACT OF 1940 - sec
Show details
This document is an order issued by the Securities and Exchange Commission granting Beverly Hills Bancorp Inc. exemptions from specific provisions of the Investment Company Act of 1940.
We are not affiliated with any brand or entity on this form
Get, Create, Make and Sign order under sections 6c
Edit your order under sections 6c form online
Type text, complete fillable fields, insert images, highlight or blackout data for discretion, add comments, and more.
Add your legally-binding signature
Draw or type your signature, upload a signature image, or capture it with your digital camera.
Share your form instantly
Email, fax, or share your order under sections 6c form via URL. You can also download, print, or export forms to your preferred cloud storage service.
Editing order under sections 6c online
Follow the guidelines below to use a professional PDF editor:
1
Create an account. Begin by choosing Start Free Trial and, if you are a new user, establish a profile.
2
Prepare a file. Use the Add New button. Then upload your file to the system from your device, importing it from internal mail, the cloud, or by adding its URL.
3
Edit order under sections 6c. Rearrange and rotate pages, add new and changed texts, add new objects, and use other useful tools. When you're done, click Done. You can use the Documents tab to merge, split, lock, or unlock your files.
4
Get your file. When you find your file in the docs list, click on its name and choose how you want to save it. To get the PDF, you can save it, send an email with it, or move it to the cloud.
Uncompromising security for your PDF editing and eSignature needs
Your private information is safe with pdfFiller. We employ end-to-end encryption, secure cloud storage, and advanced access control to protect your documents and maintain regulatory compliance.
How to fill out order under sections 6c
How to fill out ORDER UNDER SECTIONS 6(c) AND 6(e) OF THE INVESTMENT COMPANY ACT OF 1940
01
Identify the relevant sections of the Investment Company Act of 1940.
02
Gather all necessary information about the investment company and its investment objectives.
03
Complete the form by providing the company’s legal name, address, and contact information.
04
Clearly state the relief sought under sections 6(c) and 6(e), including specific details and justifications.
05
Include all required documents that support your request for the order.
06
Review the completed application for accuracy and completeness.
07
Submit the ordered application to the SEC and pay any applicable filing fees.
08
Await feedback or additional requests from the SEC.
Who needs ORDER UNDER SECTIONS 6(c) AND 6(e) OF THE INVESTMENT COMPANY ACT OF 1940?
01
Investment companies seeking exemptions from certain provisions of the Investment Company Act of 1940.
02
Asset managers looking for regulatory relief to facilitate investment strategies.
03
Financial institutions involved in mutual funds that require specific order approvals.
Fill
form
: Try Risk Free
People Also Ask about
What is Section 6 C of the Investment Company Act of 1940?
Section 6(c) of the Investment Company Act provides that the Commission may conditionally or unconditionally exempt any person, security or transaction, or any class or classes of persons, securities or transactions, from any provision or provisions of the Investment Company Act, or any rule or regulation thereunder,
What does an exemption to the Investment Company Act of 1940 mean or allow?
The 3(c)(7) exemption is part of the Investment Company Act of 1940 and allows private funds to avoid some SEC regulations, which include SEC registration and public disclosure. Investment in a 3C7 fund is limited to qualified purchasers. U.S. Securities and Exchange Commission.
What is Section 3c of the Investment Company Act of 1940?
Section 3(c) of the Investment Company Act excludes certain other issuers from the definition of investment company. These issuers include, for example, broker-dealers, charitable organizations, pension plans, and church plans.
What does the Investment Company Act of 1940 cover?
Also known as the 40 Act or the ICA. The Investment Company Act of 1940 regulates mutual funds and other companies that engage primarily in investing, reinvesting, and trading in securities, and whose own securities may be offered to the investing public (15 U.S.C. §§ 80a-1 to 64).
What is Rule 3c 5 A )( 4 under the US Investment Company Act of 1940?
Rule 3c-5(a)(4)(ii) includes a second category of knowledgeable employee, which is expressed as an employee of a Covered Fund, of a Covered Fund's investment adviser, or of certain other affiliated persons who regularly participate in the investment activities of the Covered Fund and have been performing these
What does the Investment Company Act of 1940 do?
Section 3(c) of the Investment Company Act excludes certain other issuers from the definition of investment company. These issuers include, for example, broker-dealers, charitable organizations, pension plans, and church plans.
What is Section 6 of the Investment Company Act?
Section 6(c) of the Investment Company Act provides that the Commission may conditionally or unconditionally exempt any person, security or transaction, or any class or classes of persons, securities or transactions, from any provision or provisions of the Investment Company Act, or any rule or regulation thereunder,
For pdfFiller’s FAQs
Below is a list of the most common customer questions. If you can’t find an answer to your question, please don’t hesitate to reach out to us.
What is ORDER UNDER SECTIONS 6(c) AND 6(e) OF THE INVESTMENT COMPANY ACT OF 1940?
ORDER UNDER SECTIONS 6(c) AND 6(e) OF THE INVESTMENT COMPANY ACT OF 1940 is a legal order issued by the Securities and Exchange Commission (SEC) that provides relief or exemptions from certain provisions of the Investment Company Act of 1940 for registered investment companies under specific circumstances.
Who is required to file ORDER UNDER SECTIONS 6(c) AND 6(e) OF THE INVESTMENT COMPANY ACT OF 1940?
Registered investment companies that seek exemptions from specific provisions of the Investment Company Act of 1940 must file for an ORDER UNDER SECTIONS 6(c) AND 6(e).
How to fill out ORDER UNDER SECTIONS 6(c) AND 6(e) OF THE INVESTMENT COMPANY ACT OF 1940?
To fill out ORDER UNDER SECTIONS 6(c) AND 6(e), companies must provide relevant information including the nature of the exemptions requested, the circumstances justifying the request, and any supporting documentation that demonstrates compliance with the criteria for the exemptions.
What is the purpose of ORDER UNDER SECTIONS 6(c) AND 6(e) OF THE INVESTMENT COMPANY ACT OF 1940?
The purpose of ORDER UNDER SECTIONS 6(c) AND 6(e) is to grant flexibility to investment companies by allowing them exemptions from certain statutory requirements, thereby facilitating innovative investment strategies and structures that may not fit within the existing regulatory framework.
What information must be reported on ORDER UNDER SECTIONS 6(c) AND 6(e) OF THE INVESTMENT COMPANY ACT OF 1940?
The information that must be reported includes the identity of the investment company, the specific sections of the Investment Company Act from which exemption is sought, the reasons supporting the request, and any additional facts that the SEC must know to evaluate the order request.
Fill out your order under sections 6c online with pdfFiller!
pdfFiller is an end-to-end solution for managing, creating, and editing documents and forms in the cloud. Save time and hassle by preparing your tax forms online.
Order Under Sections 6c is not the form you're looking for?Search for another form here.
Relevant keywords
Related Forms
If you believe that this page should be taken down, please follow our DMCA take down process
here
.
This form may include fields for payment information. Data entered in these fields is not covered by PCI DSS compliance.
