Virginia Uniform Investment Company Notice Filing is a type of filing provided by the state of Virginia for businesses that seek to facilitate investment activities in the state. This filing is required by the Virginia State Corporation Commission (SCC) and its purpose is to provide the SCC with information about the company's investment activities. There are two types of Virginia Uniform Investment Company Notice Filing: a Notice of Exemption and an Investment Advisory Notice. The Notice of Exemption filing is used by companies that meet certain criteria and are exempt from registering with the SCC. The Investment Advisory Notice filing is used by investment advisors who are subject to SCC registration and must provide certain information about their activities. Both types of filings must be updated annually.
Virginia Uniform Investment Company Notice Filing
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How to fill out Virginia Uniform Investment Company Notice Filing?
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Other exclusions to the Investment Company Act include but are not limited to: (1) certain government, government agencies; (2) issuers that are primarily engaged in a business other than investing, reinvesting, holding or trading securities; (3) issuers who are engaged in, among other things, purchasing or otherwise
Section 2(a)(3) of the 1940 Act defines an ?affiliated person? of another person as: (A) any person directly or indirectly owning, controlling, or holding with power to vote, 5% or more of the outstanding voting securities of such other person; (B) any person 5% or more of whose outstanding voting securities are
Considered one of the most important pieces of regulation governing the stock market, the Investment Company Act of 1940 is a law that Congress passed to define and regulate mutual funds and closed-end funds, as well as hedge funds, private equity funds, and holding companies.
A company that issues and invests in securities. The three types of investment companies are mutual funds, closed-end funds, and unit investment trusts.
Any person substantially all of whose business consists of owning or holding oil, gas, or other mineral royalties or leases, or fractional interests therein, or certificates of interest or participation in or investment contracts relative to such royalties, leases, or fractional interests.
Section 7(b) of the 1940 Act generally prohibits any depositor or trustee of or underwriter for any investment company, organized or otherwise created under the laws of the United States or of a state, without a board of directors, from, among other things, offering, selling, or delivering after sale, any security or