Investor Glossary-3c1Investor Glossary-3c1Investor Glossary-3c1Investor Glossary-3c1Insightful stock market charts - Click here
Categories    # A B C D E F G H I J K L M N O P Q R S T U V W X Y Z


The HTML to link to this page

The 3C1 is a section of the Investment Company Act of 1940 ("Investment Company Act"). This act, which includes both Section 3C1 and 3C7, regulates the registration and activities of investment companies and is enforced by the SEC. Section 3C1 allows for the exclusion of investment companies from standard SEC registration requirements if they have fewer than 100 investors and do not propose to make a public offering of its securities. These companies to which Section 3c1 applies are often referred to as private investment companies. Some examples of Section 3C1 exclusions are broker-dealers, charitable organizations, pension plans, and church plans. Section 3C1, as with Section 3C7, is commonly used among hedge fund companies since Section 3C1 helps them avoid certain requirements of the SEC.

Rate this 3C1 definition...

Learn about investing with the Investor Glossary Term of the Day

Click here for insightful stock market charts. Where is the market headed? The answer may surprise you. Find out
with the exclusive & Barron's recommended charts of Chart of the Day.

Popular Terms: covered put, risk management, average price per share, deferred tax, dividends payable, retained earnings, 144a, 1031 exchange, diluted share, reverse mortgage, class C shares, inflation, Zero Cost Collar, FICO score, stock split, ex-dividend, quality assurance, in escrow, limit order, phantom income, annual return, 1035 exchange, APR, irrevocable trust, option premium, deferred revenue, VIX, Key Rate Duration, 401a, real GDP, EBITDA, LIBOR, margin rate, current ratio, stock market close, cancelled check, ex-dividend date, balance sheet, liquidity ratio, required rate of return, FTSE, labor relations, wholly-owned subsidiary, implied volatility, per diem, command economy, debt service coverage, open position, minority interest

Accounting | Banking | Bonds | Brokers | Economy | Futures | Mutual Funds | Options | Real Estate | Retirement | Stocks | Taxes | Technical Analysis
Home | Term of the Day | Suggest a Term | Chart of the Day | Dogs of the Dow
©2004-2015 Investor Glossary - All rights reserved - Terms of Use