Investment Company Determination Under the 1940 Act: Exemptions and Exceptions - 3rd Edition - Robert Rosenblum cover
American Bar Association Casebook Series

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Investment Company Determination Under the 1940 Act: Exemptions and Exceptions - 3rd Edition - Robert Rosenblum

by Robert Rosenblum

ISBN
9781639055678
Publisher
American Bar Association
Edition
3rd Edition
Condition
$271.99 one-time purchase · 15% restocking fee on returns

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Investment Company Determination Under the 1940 Act: Exemptions and Exceptions 3rd Edition Robert Rosenblum ISBN 9781639055678

This best-selling compendium provides a comprehensive guide to every statutory and regulatory exception and exemption from investment company registration. The updated third edition serves as an essential reference, compiling key court cases, SEC statements, Staff no-action letters, and other official guidance. The authors summarize this material in a clear, accessible format, complete with citations to the relevant authorities, along with practical commentary and insights—sometimes offering critical perspectives on Commission or Staff positions.

This edition reflects significant changes in the law and practice, including:

  • Expansion of Section 3(c)(1) to allow certain venture capital funds to have up to 250 beneficial owners, up from 100.

  • Updates from the Staff on when lending businesses, including real estate lenders, may qualify for the Section 3(c)(5) exemption.

  • Adoption of a new SEC rule facilitating crowdfunding offerings.

  • Examination of exemptive orders and no-action letters with implications for issuers assessing their investment company status.

Additionally, this resource addresses unique status issues for specialized entities, including crypto-focused companies, SPACs, real estate lending companies, commodity pools, and healthcare companies. With detailed analysis, practice points, and expert commentary, this book is an indispensable tool for attorneys, compliance professionals, and fund managers navigating the complex world of investment company regulation.

Investment Company Determination Under the 1940 Act: Exemptions and Exceptions 3rd Edition Robert Rosenblum ISBN 9781639055678, 978-1639055678 & 9781639055685

Authors
Robert Rosenblum
Benjamin Rosenblum

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