Rule 3a-5 definition

Rule 3a-5 means Rule 3a-5 under the Investment Company Act.
Rule 3a-5 means Rule 3a-5 under the Investment Company Act, or any successor rule or regulation.
Rule 3a-5 means Rule 3a-5 under the Investment Company Act or any successor rule thereunder.

Examples of Rule 3a-5 in a sentence

  • The most commonly used exemptions are: Rule 3a-6 for foreign banks; Rule 3a-5 for finance subsidiaries of foreign banks; and Rule 3a-1 for foreign bank holding companies.

  • The Issuer is not an “investment company” as defined in Section 3(a)(1) of the Investment Company Act, or, alternatively, the Issuer is relying on an exemption from such definition under Rule 3(a)(5) under the Investment Company Act.

  • PFLLC has been exempted from all provisions of the Investment Company Act of 1940, as amended, including, without limitation, those relating to the offering and sale of securities by PFLLC, pursuant to Rule 3a-5 promulgated under the Investment Company Act of 1940, as amended.

  • The election of the attorney general and the nation’s highest judges caused further scandal in the justice system this year.

  • RULE 3a-5: The term "Rule 3a-5" means Rule 3a-5 under the Investment Company Act.


More Definitions of Rule 3a-5

Rule 3a-5 means Rule 3a-5 under the Investment Company Act. ---------
Rule 3a-5 means Rule 3a-5 under the 1940 Act.
Rule 3a-5 means Rule 3a-5 under the Investment Company Act. “Rule 3a-7” means Rule 3a-7 under the Investment Company Act. “Securities” means the Common Securities and the Capital Securities.
Rule 3a-5 means Rule 3a-5 under the Investment Company Act, or any successor rule or regulation thereunder, and the rules and regulations promulgated thereunder.
Rule 3a-5. : means Rule 3a-5 under the Investment Company Act.
Rule 3a-5 means Rule 3a-5 under the Investment Company Act. "Securities" means the Common Securities and the Capital Securities.
Rule 3a-5 means Rule 3a-5 as promulgated under the Investment Company Act, or any successor rule.