For sale by the Superintendent of Documents, U.S. Government Printing Office 1 PREFACE This compilation includes certain releases, extracts from Commission opinions, and other material dealing with matters frequently arising under the Investment Company Act of 1940. It does not purport to be exhaustive. This material should be read in connection with the Investment Company Act of 1940, the rules and regulations thereunder and with the Decisions and Reports of the Commission. Opinions relating to accounting principles are contained in the Accounting Series Releases. These are specifically referred to in Regulation S-X, which states the requirements applicable to the form and content of most financial statements required to be filed with the Commission. The Investment Company Act of 1940 and all of the documents referred to in the prior paragraph are available for purchase from the Superintendent of Documents, United States Government Printing Office, Washington, D. C. 20402. The Staff of the Commission also renders to members of the public, administrative interpretations of the law and regulations. 2797 Section 10(f)—Rule 10f-3-Acquisition of securities of underwriting syndicate.. 2798 Section 22(d)—Rule 22d-1-Sale of redeemable securities.. 3187 Sections 17(e), 23(a) and 48(a)—Sale of closed-end company shares 3361 Sections 17(d) and 18(c)-Rules 17d-1 and 18c-1-Rules applicable to SBICS__ 3548 Section 23(c)-Repurchase of shares by closed-end companies. 3648 Applicability of securities act to collective investment funds.. 3968 Section 17(a)-Rule 17a-6-Exemption for affiliated transactions. |