RULE 17J-1 UNDER THE INVESTMENT COMPANY ACT OF 1940, CERTAIN UNLAWFUL ACTS, PRACTICES, OR COURSES OF BUSINESS AND REQUIREMENTS RELATING TO CODES OF ETHICS WITH RESPECT TO...
ICR 198610-3235-011
OMB: 3235-0224
Federal Form Document
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RULE 17J-1 UNDER THE
INVESTMENT COMPANY ACT OF 1940, CERTAIN UNLAWFUL ACTS, PRACTICES,
OR COURSES OF BUSINESS AND REQUIREMENTS RELATING TO CODES OF ETHICS
WITH RESPECT TO...
SECTION 17(J) OF THE INVESTMENT
COMPANY ACT OF 1930 MAKES IT UNLAWFUL FOR ANY AFFILIATED PERSON OF
A REGISTERED INVESTMENT COMPANY TO ENGAGE CERTAIN TYPES OF
FRAUDULENT PRACTICES. RULE 17J-1, IN FURTHERANCE OF THIS OBJECTIVE,
REQUIRES THAT COMPANIES ADOPT CODES OF ETHICS DESIGNED TO PREVENT
SUCH FRAUDULENT PRACTICES.
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1320.8(b)(3).
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