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[DOC File]7/27/05
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An open-end mutual fund (registered with the SEC) that must comply with the SEC’s “Rule 2a-7,” which imposes certain restrictions, such as a requirement that the fund’s board must attempt to maintain a stable net asset value (NAV) per share or stable price per share, limits on the maximum maturity of any individual security in the fund ...
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Open-ended investment company - Wikipedia
ETFs are legally structured as either open-end investment companies or unit investment trusts, but have certain exemptions under the federal securities laws.) Per the SEC, an "investment company" is a company (corporation, business trust, partnership, or limited liability company) that issues securities and is primarily engaged in the business of investing in securities.
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[DOCX File]Explanation of Investment and Deposit Types
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iii. although an ETN issuer is not a registered open-end investment company or unit investment trust, in view of the substantial similarity between ETNs and ETFs, ETN issuers have requested the same relief afforded by rule 11d1-2 to ETFs and other registered open-end investment companies. iv.
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[DOCX File]Interpretation of the Emerging Accounting Issues Working …
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With respect to shares of an “open-end company” as defined in Section 5(a)(1) of the Investment Company Act of 1940, (15 U.S.C. §80a-5(a)(1)), (“mutual fund”), which is incorporated by reference in Rule 69W-200.002, F.A.C., the investment adviser may use the mutual fund’s transfer agent in lieu of a qualified custodian for purposes ...
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69W-600
Investments in open-end mutual fund shares, or similar investments in external investment pools, are also considered to be cash equivalents. Investments classified in the financial statements consist entirely (primarily) of certificates of deposit whose term to maturity at date of acquisition exceeds three months, and/or those types of ...
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[DOCX File]Notes to Financial Statements - South Dakota
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(a) Shares of mutual funds. With respect to shares of an “open-end company” as defined in Section 5(a)(1) of the Investment Company Act of 1940, 15 U.S.C. 80a-5(a)(1), (“mutual fund”), the investment adviser may use the mutual fund’s transfer agent in lieu of a qualified custodian for purposes of complying with subsection (2) of this ...
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[DOCX File]Statement of Statutory Accounting Principles No.
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A money market mutual fund is a no-load, open-end investment company registered under the Federal Investment Company Act of 1940 which attempts to maintain a constant net asset value per share and holds itself out to be a "money market" fund. A taxpayer may not elect to treat part of its cash as business capital and part as investment capital.
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[DOCX File]Statutory Accounting Principles Working Group
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Shares of SEC registered Investment Companies captured under the Investment Company Act of 1940 (open-end investment companies (mutual funds), closed-end funds and unit investment trusts), regardless of the types or mix of securities owned by the fund (e.g., bonds or stocks), except for Bond Mutual Funds which qualify for bond treatment, as ...
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[DOC File]Exchange Traded Funds (ETFs) and Exchange Traded Notes …
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includes SEC registered open-end investment companies (mutual funds), closed-end funds and unit investment trusts, regardless of the types or mix of securities owned by the fund. Investments in scope of this statement include mortgage-backed mutual funds and other such investments.
open end funds vs closed end funds

Open end investment company definition