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Investment Companies And Intrastate Offerings

Recently, my eye caught the following statement in the SEC's Intrastate Offering Exemptions: A Small Entity Compliance Guide for Issuers:

Issuers registered or required to be registered under the Investment Company Act of 1940 are not eligible to...

Legislation, Legal History, required to be registered, SEC Rel. No. 33-4434, Section 24d, 26 FR 11896, intrastate offering, Investment Company Act, Rule 147, Rule 147A, Section 3(a)(11)

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30172DBAB0084D3A8F39D7AF0A8E79BC.ashxKeith Paul Bishop
Partner at Allen Matkins
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