Investment Companies Law

The Special Investors and Investment Structure Group addresses specialized investments in real estate, including pension plan investments, insurance company investments and international investment in real estate. The Group also addresses specialized structures for investment and financing, including limited liability companies, partnerships, REITs, land trusts and real estate investment funds. To address these matters,

This law regulates investment advisers. With certain exceptions, this Act requires that firms or sole practitioners compensated for advising others about securities investments must register with the SEC and conform to regulations designed to protect investors. Since the Act was amended in 1996, generally only advisers who have at least $25 million of assets under management or advise a registered investment company must register with the Commission.

This act required that all such companies register with the Securities and Exchange Commission (SEC). Under The Investment Company Act of 1940, investment firms must also regularly disclose their investment policies and financial conditions to the public. The act also set operating standards to help ensure investment companies’ continued financial health and fair treatment of investors. These guidelines included limiting the amount of assets that could be leveraged to purchase additional assets, and regulating sales of shares in the investment company itself.

For purposes of this subtitle, the term ''regulated investment company'' means any domestic corporation - (1) which, at all times during the taxable year - (A) is registered under the Investment Company Act of 1940, as amended (15 U.S.C. 80a-1 to 80b-2) as a management company or unit investment trust, or (B) has in effect an election under such Act to be treated as a business development company, or (2) which is a common trust fund or similar fund excluded by section 3(c)(3) of such Act (15 U.S.C. 80a-3(c)) from the definition of ''investment company'' and is not included in the definition of ''common trust fund'' by section 584(a).

Often referred to as the "truth in securities" law, the Securities Act of 1933 has two basic objectives: * require that investors receive financial and other significant information concerning securities being offered for public sale; and * prohibit deceit, misrepresentations, and other fraud in the sale of securities.

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s mission is to protect America’s investors by making sure the securities industry operates fairly and honestly. All told, FINRA oversees nearly 4,620 brokerage firms, about 165,920 branch offices and approximately 636,340 registered securities representatives.

The International Trade Administration (ITA) strengthens the competitiveness of U.S. industry, promotes trade and investment, and ensures fair trade through the rigorous enforcement of our trade laws and agreements. ITA works to improve the global business environment and helps U.S. organizations compete at home and abroad. ITA supports President Obama’s recovery agenda and the National Export Initiative to sustain economic growth and support American jobs.

The Overseas Private Investment Corporation (OPIC) was established as an agency of the U.S. government in 1971. OPIC helps U.S. businesses invest overseas, fosters economic development in new and emerging markets, complements the private sector in managing risks associated with foreign direct investment, and supports U.S. foreign policy. Because OPIC charges market-based fees for its products, it operates on a self-sustaining basis at no net cost to taxpayers.

Whether your business is in the early stages of development or already thriving and seeking growth capital, we want to help you determine if SBIC financing is right for your company – and if so, who in the SBIC community might be willing to consider an investment. Remember, the SBIC Program does not invest directly in small businesses. Instead, SBA puts its confidence in premier investment management funds to evaluate and invest in promising small companies.

The mission of the U.S. Securities and Exchange Commission is to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation. As more and more first-time investors turn to the markets to help secure their futures, pay for homes, and send children to college, our investor protection mission is more compelling than ever.

Since 2001, ITN has offered news, analysis and opinions on international investment law and its implications for sustainable development. The service began as a list-serve where information and views were shared among members, before becoming an electronic newsletter produced by a small editorial team. In its present form, ITN combines these functions by serving as a Web-based platform for discussion and debate, as well as providing regular journalistic reporting on developments and trends in international investment law.

Launched in 1996, InvestorGuide.com is WebFinance Inc.'s flagship business. The site's mission is to empower individual investors to take control of their finances and investments through the Internet. InvestorGuide.com believes that every investor, regardless of experience, can benefit from a guide designed to help them sort through all of the investing information on the Internet. Sections that benefit everyone equally are those covering online brokers, stock information, and a comprehensive list of publicly traded companies.

Articles written by attorneys and experts worldwide discussing legal aspects related to Banking and Finance including: asset protection, capital markets, corporate finance, financial planning, financial services law, investment law, offshore accounts, private equity, project finance, public finance, securities, trade investment and venture capital.