Securities Lawyer's Deskbook
                         published by The University of Cincinnati College of Law
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The
Investment Company Act of 1940





Table of Contents


    Section 1 -- Findings and Declaration of Policy

    Section 2 -- Definitions

    Section 3 -- Definition of Investment Company

    Section 4 -- Classification of Investment Companies

    Section 5 -- Subclassification of Management Companies

    Section 6 -- Exemptions

    Section 7 -- Transactions by Unregistered Investment Companies

    Section 8 -- Registration of Investment Companies

    Section 9 -- Ineligibility of Certain Affiliated Persons and Underwriters

    Section 10 -- Affiliations or Interest of Directors, Officers, and Employees

    Section 11 -- Offers to Exchange Securities

    Section 12 -- Functions and Activities of Investment Companies

    Section 13 -- Changes in Investment Policy

    Section 14 -- Size of Investment Companies

    Section 15 -- Contracts of Advisers and Underwriters

    Section 16 -- Board of Directors

    Section 17 -- Transactions of Certain Affiliated Persons and Underwriters

    Section 18 -- Capital Structure of Investment Companies

    Section 19 -- Payments or Distributions

    Section 20 -- Proxies; Voting Trusts; Circular Ownership

    Section 21 -- Loans by Management Companies

    Section 22 -- Distribution, Redemption, and Repurchase of Securities; Regulations by Securities Associations

    Section 22e-3T -- Temporary Exemption for Liquidation of Certain Money Market Funds

    Section 23 -- Closed-End Companies

    Section 24 -- Registration of Securities Under Securities Act of 1933

    Section 25 -- Reorganization Plans; Reports by Commission

    Section 26 -- Unit Investment Trusts

    Section 27 -- Periodic Payment Plans

    Section 28 -- Face-Amount Certificate Companies

    Section 29 -- Bankruptcy of Face-Amount Certificate Companies

    Section 30 -- Reports and Financial Statements of Investment Companies and Affiliated Persons

    Section 31 -- Accounts and Records

    Section 32 -- Accountants and Auditors

    Section 33 -- Filing of Documents with Commission in Civil Actions

    Section 34 -- Destruction and Falsification of Reports and Records

    Section 35 -- Unlawful Representations and Names

    Section 36 -- Breach of Fiduciary Duty

    Section 37 -- Larceny and Embezzlement

    Section 38 -- Rules, Regulations, and Orders

    Section 39 -- Procedure for Issuance of Rules and Regulations

    Section 40 -- Procedure for Issuance of Orders

    Section 41 -- Hearings by Commission

    Section 42 -- Enforcement of Title

    Section 43 -- Court Review of Orders

    Section 44 -- Jurisdiction of Offenses and Suits

    Section 45 -- Disclosure of Information Filed with Commission; Copies

    Section 46 -- Reports by Commission; Hiring and Leasing Authority

    Section 47 -- Validity of Contracts

    Section 48 -- Violation of Title

    Section 49 -- Penalties

    Section 50 -- Construction with Other Laws

    Section 51 -- Separability

    Section 52 -- Short Title

    Section 53 -- Effective Date

    Section 54 -- Election to Be Regulated as Business Development Company

    Section 55 -- Acquisition of Assets by Business Development Companies

    Section 56 -- Qualifications of Directors

    Section 57 -- Transactions with Certain Affiliates

    Section 58 -- Changes in Investment Policy

    Section 59 -- Incorporation of Title Provisions

    Section 60 -- Functions and Activities of Business Development Companies

    Section 61 -- Capital Structure

    Section 62 -- Loans

    Section 63 -- Distribution and Repurchase of Securities

    Section 64 -- Accounts and Records

    Section 65 -- Preventing Compliance with Title; Liability of Controlling Persons





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