SECTION 12D-1 LIMIT
Section 12D-1 Limit is a rule for the provision of conditional exemptions for registered investment companies under the Investment Company Act’s Section 12 (d)(3). Section 12D-1 Limit was added in 1964 and it prohibits the purchase and acquirement of security and business interest from a registered broker, dealer, investment company adviser, investment adviser, underwriter under the Investment Act of 1040 by said registered investment companies.
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