This is a collection of pages on the topic of regulatory requirements applicable to investment advisers and investment funds. See also the collections of pages on Broker-Dealers and the Commodity Exchange Act, which cover specific topics related to the regulation of commodity trading advisors and commodity pool operators.
Quantitative Registration Test (ICA Section 3(a)(1)(C))
Inadvertent Investment Companies (ICA Section 3(b))
Private Fund Exemptions (ICA Section 3(c)1 and 3(c)7))
RIC Exemption for U.S. Banks, Bank-Funds and Insurance Companies (ICA Section 3(c)(3))
ICA Section 3(c)(4), (5) and (6) Funds, Including REITs
ICA Exemption for Oil, Gas and Mineral Companies (ICA Section 3(c)(9))
RIC Exclusions for Charitable Organizations and Church Plans (ICA Section 3(c)(10) and 3(c)(14))
Employees' Securities Companies (ICA Section 6(b))
Prima Facie Investment Companies (ICA Rule 3a-1)
Transient Investment Companies (ICA Rule 3a-2)
Investment Companies Owned by Non-ICs (ICA Rule 3a-3)
Investment Advisory Programs (ICA Rule 3a-4)
Finance Subsidiary Exemption from the ICA (ICA Rule 3a-5)
Foreign Bank and Insurance Company Exemption from the ICA (ICA Rule 3a-6)