Alternative report. Where a bank acts as an investment adviser to an in- vestment company registered under the Investment Company Act of 1940, the bank’s officers and employees may fulfill their reporting requirement under paragraph (a) of this section by
Appears in 2 contracts
Sources: Securities Purchase Agreement, Securities Purchase Agreement
Alternative report. Where a bank acts as an investment adviser to an in- vestment company registered under the Investment Company Act of 1940, the bank’s officers and employees may fulfill their reporting requirement under paragraph (a) of this section byby filing with the bank the ‘‘access per- sons’’ personal securities trading report
Appears in 1 contract
Sources: Securities Purchase Agreement