Series 26: Chapter Two

Taken from our Series 26 Online Guide

Chapter Two

Investment Company Registration Requirements

Investment companies must register their businesses with the SEC under the Investment Company Act. They must also register their securities in accordance with the Securities Act of 1933. Broker-dealers who sell investment company products must register with the SEC and FINRA under the Securities Exchange Act, and investment advisers for investment company products must register under the Investment Advisers Act. In this section, we will summarize each of these separate registration requirements in turn.

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