Company principal definition registration#

104вЂ“290, В§вЂЇ209(a)(2), inserted вЂњand is or, but for the exception provided for in this paragraph or paragraph (7), would be an investment company,вЂќ after вЂњvoting securities of the issuer,вЂќ and struck out вЂњunless, as of the date of the most recent acquisition by such company of securities of that issuer, the value of all securities owned by such company of all issuers which are or would, but for the exception set forth in this subparagraph, be excluded from the definition of investment company solely by this paragraph, does not exceed 10 per centum of the value of the companyвЂ™s total assets. 104вЂ“290, В§вЂЇ209(a)(1), inserted after first sentence вЂњSuch issuer shall be deemed to be an investment company for purposes of the limitations set forth in subparagraphs (A)(i) and (B)(i) of section 80aвЂ“12(d)(1) of this title governing the purchase or other acquisition by such issuer of any security issued by any registered investment company and the sale of any security issued by any registered open-end investment company to any such issuer.вЂќ (A) to (C), respectively, and designated existing concluding provisions as par.

104вЂ“290, В§вЂЇ209(c)(1)вЂ“(5), designated existing introductory provisions as par. 105вЂ“353 substituted вЂњparagraph (1)(C)вЂќ for вЂњparagraph (3)вЂќ in introductory provisions.ДЎ996-Subsec. (A) to (C) before period at end.ДЎ998-Subsec. 108вЂ“359, which directed the substitution of вЂњone or more of such trusts, government plans, or church plans, companies or accounts that are excluded from the definition of an investment company under paragraph (14) of this subsectionвЂќ for вЂњsuch trusts or government plans, or bothвЂќ, was executed by making the substitution for вЂњsuch trusts or governmental plans, or bothвЂќ, to reflect the probable intent of Congress.ДЎ999-Subsec. (8) which read as follows: вЂњAny company subject to regulation under the Public Utility Holding Company Act of 1935.вЂќДў004-Subsec.

115вЂ“174, В§вЂЇ504(1), inserted вЂњ(or, in the case of a qualifying venture capital fund, 250 persons)вЂќ after вЂњone hundred personsвЂќ in introductory provisions.

Company principal definition registration#

Any employeeвЂ™s stock bonus, pension, or profit-sharing trust which meets the requirements for qualification under section 401 of title 26 or any governmental plan described in section 77c(a)(2)(C) of this title or any collective trust fund maintained by a bank consisting solely of assets of one or more of such trusts, government plans, or church plans, companies or accounts that are excluded from the definition of an investment company under paragraph (14) of this subsection or any separate account the assets of which are derived solely from (A) contributions under pension or profit-sharing plans which meet the requirements of section 401 of title 26 or the requirements for deduction of the employerвЂ™s contribution under section 404(a)(2) of title 26, (B) contributions under governmental plans in connection with which interests, participations, or securities are exempted from the registration provisions of section 77e of this title by section 77c(a)(2)(C) of this title, and (C) advances made by an insurance company in connection with the operation of such separate account.Дў018-Subsec.