Rules and Regulations
promulgated
under the
Investment Company Act of 1940
Rule 13a-1 -- Exemption for Change of Status by Temporarily Diversified Company
A change of its subclassification by a registered management company from that of
a diversified company to that of a nondiversified company shall be exempt from the
provisions of section 13(a)(1) of the Act,
if such change occurs under the following circumstances:
Such company was a nondiversified company at the time
of its registration pursuant to section 8(a),
or thereafter legally became a nondiversified company.
After its registration and within 3 years prior to
such change, such company became a diversified company.
At the time such company became a diversified company,
its registration statement filed pursuant to section
8(b), as supplemented and modified by any amendments and reports theretofore
filed, did not stated that the registrant proposed to become a diversified company.
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