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No. 0000950129-00-005152 (HTML Version on secdatabase.com) FILER AIM FLOATING RATE FUND CIK:1027826 IRS No.: 943259182 State of Incorp.:MD Fiscal Year End: 1231 Type: N-23C3A Act: 40 File No.: 817-00839 Film No.: 747594 Copyright 2012 www.secdatabase.com. All Rights Reserved. Please Consider the Environment Before Printing This Document Business Address 11 GREENWAY PLAZA, SUITE 100 HOUSTON TX 77046 7136261919 1 AIM Floating Rate Fund 11 Greenway Plaza, Suite 100 Houston, Texa.

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Rule 203A-2(b) permits an investment adviser that controls, is controlled by or under common control with, another SEC-registered investment adviser to register with the SEC. Exemption for Certain Investment Advisers Operating Through the Internet, Advisers Act Release No. 2091 (Dec.

The Securities and Exchange Commission (SEC) oversees securities exchanges, securities brokers and dealers, investment advisors, and mutual funds in an effort to promote fair dealing, the disclosure of important market information, and to prevent fraud.

Registration statements have two principal parts. In the prospectus, your company must clearly describe important information about its business operations, financial condition, results of operations, risk factors, and management. The prospectus must also include audited financial statements.

Section 203A of the Investment Advisers Act of 1940 (the "Advisers Act") generally prohibits investment advisers from registering with SEC unless the adviser has more than $25 million in assets under management or is an adviser to a registered investment company.

The final rule changes this provision and requires “a website, mobile application, or similar digital platform through which the investment adviser provides digital investment advisory services on an ongoing basis to more than one client (except during temporary technological outages of a de minimis duration).” With ...

Rule 203A-2(e) is commonly known as the “Internet Adviser Exemption.” Originally adopted in 2002, advisers relying on the Internet Adviser Exemption are permitted to register with the SEC, even if they do not have enough assets under management or otherwise qualify for federal registration.

Place of business is also defined in SEC Rule 203A-3 as an office at which the IAR regularly provides investment advisory services, solicits, meets with, or otherwise communicates with clients and any other location that is held out to the general public as a location at which the IAR provides investment advisory ...

Rule 23c-3 permits a closed-end fund or a business development company to repurchase its common stock from shareholders at periodic intervals pursuant to repurchase offers made to all of the fund's shareholders. The following is a summary of how an interval fund may conduct repurchase offers pursuant to that rule.

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© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232
Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
DMCA Policy
About Us
Blog
Affiliates
Contact Us
Privacy Notice
Delete My Account
Site Map
Industries
Forms in Spanish
Localized Forms
State-specific Forms
Forms Kit
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate workflows
DocHub
Instapage
Social Media
Call us now toll free:
1-877-389-0141
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232