Sentences with phrase «defined by the investment company»

For example, not registering in the US as an «investment company», as defined by the Investment Company Act of 1940, and actively seeking investors while seeking to secure US - based financial securities - such as the «fund - of - funds» the company indicated it is interested in investing in - creates ambiguity that may doom the fund in the future.

Not exact matches

Assets are invested in any eligible U.S. dollar - denominated money market instruments as defined by applicable U.S. Securities and Exchange Commission regulations (Rule 2a - 7 of the Investment Company Act of 1940), including all types listed above as well as commercial paper, certificates of deposit, corporate notes, and other private instruments from domestic and foreign issuers, as well as repurchase and potentially reverse repurchase agreements.

The major insurance companies of that period were deeply at fault in this as well, largely driven by the need to issue 5 - year Guaranteed Investment Contracts [GICs] to rapidly growing stable value funds of defined contribution plans.

According to research conducted by the investment management company Vanguard, which was published in their report on 2012 defined contribution plan data, 54 percent of 401 (k) plans offered immediate eligibility for employee contributions.

Indeed, the percentage of pension - plan assets invested in stocks dropped from 60 percent to 55 percent during 2007, representing a shift of almost $ 60 billion worth of plan assets from equities into fixed - income and other investments, according to the firm's study of the 100 U.S. public companies with the biggest defined - benefit pension assets whose 2007 annual report was released by March 15, 2008.

The registrant's principal executive and principal financial officers, or persons performing similar functions, have concluded that the registrant's disclosure controls and procedures (as defined in Rule 30a - 3 (c) under the Investment Company Act of 1940, as amended (the «1940 Act»)(17 CFR 270.30a - 3 (c)-RRB--RRB- are effective, as of a date within 90 days of the filing date of the report that includes the disclosure required by this paragraph, based on their evaluation of these controls and procedures required by Rule 30a - 3 (b) under the 1940 Act (17 CFR 270.30a - 3 (b)-RRB- and Rules 13a - 15 (b) or 15d - 15 (b) under the Securities Exchange Act of 1934, as amended (17 CFR 240.13a - 15 (b) or 240.15d - 15 (b)-RRB-.

Under the SEC proposal, an ETF would be defined as a registered open - end management investment company that: • Issues (or redeems) creation units in exchange for the deposit (or delivery) of basket assets the current value of which is disseminated per share by a national securities exchange at regular intervals during the trading day; • Identifies itself as an ETF in any sales literature; • Issues shares that are approved for listing and trading on a securities exchange; • Discloses each business day on its publicly available web site the prior business day's net asset value and closing market price of the fund's shares, and the premium or discount of the closing market price against the net asset value of the fund's shares as a percentage of net asset value; and • Either is an index fund, or discloses each business day on its publicly available web site the identities and weighting of the component securities and other assets held by the fund.

In addition, Voya has earned numerous awards and accolades over time, including being named as one of the Top Green Companies in the U.S. in 2016, being named as a 2017 World's Most Ethical Companies (by Ethisphere Institute), and as a top five retirement plan provider (based on number of plans and participants) by the Pensions & Investments Defined Contribution Record Keepers Survey in April of 2016.

While many life insurance policies provide that the insurance carrier may increase policy charges under specified circumstances (generally defined broadly by reference to the company's expectations regarding future mortality, investment, expense and persistency experience), this discretion is very rarely exercised.

Treasury recommends that current limitations on investments in crowdfunding offerings be waived for accredited investors as defined by Reg D. Reg CF may become more attractive if a company can more easily reach its funding goals.

I accomplished the company's goals and objectives by holding Administrators and Medical Directors accountable for census growth, patient care, positive employee relations and a defined return on investment.

«By leveraging NAR's network and brand, SCV aims to help REach accelerator companies better define their business and find their value in the real estate industry,» said NAR President William E. Brown, a Realtor ® from Alamo, California and founder of Investment Properties, a division of his family real estate business.