Other Laws & Rules

• Investment Company Act of 1940
  • Section 3(c)(1) - Exemption from Definition of Investment Company
  • Section 3(c)(7) - Exemption from Definition of Investment Company
  • Rule 3a-4 - Status of Investment Advisory Programs
• Securities Exchange Act of 1934
  • Section 13(d) - Reports by persons acquiring more than 5% of certain classes of securities
  • Section 13(f) - Reports by institutional investment managers
  • Section 13(g) - Statement of equity security ownership
  • Section 13(h) - Large trader reporting
  • Section 16(a) - Directors, officers, and principal stockholders required to file
  • Section 28(e) - Exchange, broker, and dealer commissions; brokerage and research services
  • Rule 10b-5 - Employment of Manipulative and Deceptive Devices
  • Rule 13d-1 - Filing of Schedules 13D and 13G
  • Rule 13d-2 - Filing of amendments to Schedules 13D or 13G
  • Rule 13d-3 - Determination of Beneficial Ownership
  • Rule 13d-4 - Disclaimer of Beneficial Ownership
  • Rule 13d-5 - Acquisition of Securities
  • Rule 13d-6 - Exemption of Certain Acquisitions
  • Rule 13d-7 - Dissemination
  • Rule 13f-1 - Reporting by Institutional Investment Managers of Information with Respect to Accounts
  • Rule 13h–1 Large trader reporting.
  • Rule 16a-1 - Definition of terms.
  • Rule 16a-2 - Persons and transactions subject to section
  • Rule 16a-3 - Reporting transactions and holdings.
  • Rule 16a-4 - Derivative securities.
  • Rule 16a-5 - Odd-lot dealers.
  • Rule 16a-6 - Small acquisitions.
  • Rule 16a-7 - Transactions effected in connection with a distribution.
  • Rule 16a - 8 - Trusts.
  • Rule 16a–9 Stock splits, stock dividends, and pro rata rights.
  • 16a-10 - Exemptions under section 16(a).
  • Rule 16a–11 Dividend or interest reinvestment plans.
  • Rule 16a-12 - Domestic relations orders.
  • Rule 16a-13 - Change in form of beneficial ownership.
• Regulation S-ID - Identity Theft Rules
  • Section 162.30 - Duties regarding the detection, prevention, and mitigation of identity theft.
  • Appendix B to Part 162—Interagency Guidelines on Identity Theft Detection, Prevention and Mitigation
• Regulation S-P
  • § 248.1 - Purpose and scope.
  • § 248.2 - Model privacy form: rule of construction.
  • § 248.3 - Definitions
  • § 248.4 - Initial privacy notice to consumers required.
  • § 248.5 - Annual privacy notice to customers required.
  • § 248.6 - Information to be included in privacy notices.
  • § 248.7 - Form of opt out notice to consumers; opt out methods.
  • § 248.8 - Revised privacy notices.
  • § 248.9 - Delivering privacy and opt out notices.
  • § 248.10 - Limits on disclosure of nonpublic personal information to nonaffiliated third parties.
  • § 248.11 - Limits on redisclosure and reuse of information.
  • § 248.12 - Limits on sharing account number information for marketing purposes.
  • § 248.13 - Exception to opt out requirements for service providers and joint marketing.
  • § 248.14 - Exceptions to notice and opt out requirements for processing and servicing transaction
  • § 248.15 - Other exceptions to notice and opt out requirements.
  • § 248.16 - Protection of Fair Credit Reporting Act.
  • § 248.17 - Relation to State laws.
  • § 248.18 - Effective date; transition rule.
  • § 248.30 Procedures to safeguard customer records and information; disposal of consumer repor
• Regulation S-AM - Limitations on Affiliate Marketing
  • § 248.101 - Purpose and Scope.
  • § 248.102 - Examples.
  • § 248.120 - Definitions.
  • § 248.121 Affiliate Marketing Opt Out and Exceptions.
  • § 248.122 Scope and duration of opt out.
  • § 248.123 Contents of opt out notice; consolidated and equivalent notices.
  • § 248.124 Reasonable opportunity to opt out.
  • § 248.125 Reasonable and simple methods of opting out.
  • § 248.126 Delivery of Opt Out Notices.
  • § 248.127 Renewal of Opt Out Elections.
  • § 248.128 Effective Date, Compliance Date, and Prospective Application.

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