Securities Lawyer's Deskbook
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General Rules and Regulations
promulgated
under the
Securities Exchange Act of 1934





Rule 3b-11 -- Definitions Relating to Limited Partnership Roll-up Transactions for Purposes of Sections 6(b)(9), 14(h) and 15A(b)(12)-(13)


For purposes of sections 6(b)(9), 14(h) and 15A(b)(12)-(13) of the Act:
  1. The term "limited partnership roll-up transaction" does not include a transaction involving only entities that are not "finite-life" as defined in Item 901(b) of Regulation S-K.

  2. The term "limited partnership roll-up transaction" does not include a transaction involving only entities registered under the Investment Company Act of 1940 or any Business Development Company as defined in section 2(a)(48) of that Act .

  3. The term "regularly traded" shall be defined as in Item 901(c)(2)(v)(C) of Regulation S-K .

Regulatory History


59 FR 63684, Dec. 8, 1994



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