17 C.F.R. § 270.13a-1 Exemption for change of status by temporarily diversified company.
Title 17 - Commodity and Securities Exchanges
A change of its subclassification by a registered management company from that of a diversified company to that of a nondiversified company shall be exempt from the provisions of section 13(a)(1) of the Act (54 Stat. 811; 15 U.S.C. 80a–13), if such change occurs under the following circumstances: (a) Such company was a nondiversified company at the time of its registration pursuant to section 8(a) (54 Stat. 803; 15 U.S.C. 80a–8), or thereafter legally became a nondiversified company. (b) After its registration and within 3 years prior to such change, such company became a diversified company. (c) At the time such company became a diversified company, its registration statement filed pursuant to section 8(b) (54 Stat. 803; 15 U.S.C. 80a–8), as supplemented and modified by any amendments and reports theretofore filed, did not stated that the registrant proposed to become a diversified company. [Rule N–13A–1, 6 FR 3967, Aug. 8, 1941]
Title 17: Commodity and Securities Exchanges
PART 270—RULES AND REGULATIONS, INVESTMENT COMPANY ACT OF 1940
§ 270.13a-1 Exemption for change of status by temporarily diversified company.
