Fund Regulation, Registration, and Exemptions

Fund regulation, registration, and exemption pages explain the rules that determine whether a fund is registered, exempt, alternative, or cross-border regulated.

Use this section for Investment Company Act terms, 3(c)(7) exemptions, AIF and AIFM rules, UCITS, RICs, and registered investment company pages.

In this section

• 3(c)(7) Exemption: A Comprehensive Guide to Private Fund Regulatory Relief
  An in-depth look at the 3(c)(7) exemption, part of the Investment Company Act of 1940, which allows private funds to bypass certain SEC regulations. Ideal for understanding the nuances and applications of this regulatory relief.
• AIF: Alternative Investment Fund
  Comprehensive coverage of Alternative Investment Funds, their types, key events, and importance.
• AIFM Directive: Comprehensive Guide to the Alternative Investment Fund Managers Directive
  A detailed exploration of the Alternative Investment Fund Managers Directive, covering historical context, key events, types, and implications.
• Investment Company Act of 1940
  Core U.S. fund-regulation statute governing registered investment companies, disclosure, governance, and investor protections.
• Registered Investment Company
  Pooled investment vehicle registered with the SEC and governed by the Investment Company Act of 1940.
• Regulated Investment Company (RIC)
  U.S. tax classification for certain pooled investment vehicles that pass income through to shareholders if they meet distribution and qualification rules.
• UCITS: Undertakings for Collective Investment in Transferable Securities
  An in-depth look at Undertakings for Collective Investment in Transferable Securities (UCITS), their historical context, importance, types, key regulations, and impact on the EU financial market.