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Closed-End Funds

The three basic types of investment companies regulated under the Investment Company Act of 1940 are closed-end funds, mutual funds, and unit investment trusts. Closed-end funds must be registered with the Securities and Exchange Commission. Such...

Securities Transfer Agents

Securities Transfer Agents

Transfer agents track the owners of securities. They also perform several other services for companies with registered and publicly traded securities in the course of tracking the owners of...

Business & Corporate Entities> Corporations> Directors & Officers> Management Duties & Liabilities

Sources of Document Retention Requirements

In establishing and reviewing their document retention programs, corporations must determine their legal duty to retain documents. A review of sources of the duty to...

OSHA Requirements and Standards

The Occupational Safety and Health Administration (OSHA) is responsible under the Occupational Safety and Health Act of 1970 for promoting a safe workplace by setting standards and conducting inspections. The Act applies to almost all...

Securities Law> Additional Offerings, Disclosure & the Securities Exchange Act of 1934> Tender Offers

Going Private Reporting Requirements for Public Companies

A company goes private by reducing the number of its stockholders to less than 300. The company thereby no longer is required to file public company...