Securities Lawyer's Deskbook
                         published by The University of Cincinnati College of Law
UC Law logo


Rules and Regulations
promulgated
under the
Investment Company Act of 1940





Rule 17a-1 -- Exemption of Certain Underwriting Transactions Exempted by Rule 10f-1


Any transaction exempted pursuant to Rule 10f-1 shall be exempt from the provisions of section 17(a)(1) of the Act.


Regulatory History


Rule N-17A-1, 6 FR 1191, Feb. 28, 1941



Notice to Users: The Deskbook is made available with the understanding that the University of Cincinnati College of Law is not engaged in rendering legal, accounting or other professional services. If legal advice or other expert assistance is required, the services of a competent professional person should be sought. See Terms and Conditions of Use.  UC Brand Ingot

© Copyright 1998-2008, University of Cincinnati, All Rights Reserved
 Contact: ronald.jones@uc.edu