Investment Company Act of 1940 CLE
Investment Company Act of 1940 – Inadvertent Investment Companies, Exemptions and Private Placements



Live Webcast/Rebroadcast – You watch the course online at the specified date and time shown below. You can ask questions and receive answers during the course.

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Course Description

This program was recorded on November 19, 2020

Inadvertent investment companies, 1940 Act exemptions and private placements. This presentation will explore traditional businesses that are caught by the Investment Company Act of 1940 (“1940 Act”) inadvertently and a variety of 1940 Act exemptions under the 1940 Act. The presentation will also cover private placement exemptions under the 1940 Act applicable to inadvertent investment companies and private funds.

Attorney John Nelson ChrismanJohn Nelson Chrisman
John Chrisman is a corporate, M&A, and capital markets lawyer. His legal and business experience spans over 50 countries across six continents. John has over 30 years’ experience advising governments, companies and financial institutions on U.S. and international M&A, capital markets (equity and debt), private equity and venture capital transactions. He has lived and worked as a lawyer in Dallas, Dubai, Hong Kong, London, Los Angeles, Melbourne, Singapore and Sydney.

Contact John Nelson Chrisman

1 General Credit

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  1. How to Identify an Investment Company
  2. 3 types of Investment Companies
  3. Inadvertent Investment Companies
  4. Statutory Exceptions under the 1940 Act
  5. Exemptions under the Investment Company
  6. Private Placements under 3(c)(1)
  7. Qualified Purchaser Placements under 3(c)(7)
  8. Foreign Investment Companies