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Temporary Exemption for Certain Investment Advisers

SEC · final-rule · Published 1999-12-06 · Effective 1999-12-13 · 64 FR 68019

Document

Document number
99-31333
Federal Register citation
64 FR 68019
CFR reference
17 CFR 270
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
1999-12-06
Effective date
1999-12-13
Docket
Release Nos. IC-24177, IA-1846

Abstract

The Commission is adopting amendments to the rule under the Investment Company Act of 1940 that permits an investment adviser to advise an investment company under a temporary contract that the investment company's shareholders have not approved. The amendments expand the circumstances in which the exemption provided by the rule is available, to include a merger or similar business combination involving an investment company's adviser. The amendments also lengthen the maximum duration of the temporary contract. The amendments will permit more investment advisers to rely on the rule rather than seek individual exemptions from the Commission, and will continue to protect the interests of investors pending their vote on a new advisory contract.

Source

Authoritative
Federal Register document
Machine
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