Securities Lawyer's Deskbook
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The
Investment Company Act of 1940





Section 33 -- Filing of Documents with Commission in Civil Actions


Every registered investment company which is a party and every affiliated person of such company who is a party defendant to any action or claim by a registered investment company or a security holder thereof in a derivative or representative capacity against an officer, director, investment adviser, trustee, or depositor of such company, shall file with the Commission, unless already so filed, (1) a copy of all pleadings, verdicts, or judgments filed with the court or served in connection with such action or claim, (2) a copy of any proposed settlement, compromise, or discontinuance of such action, and (3) a copy of such motions, transcripts, or other documents filed in or issued by the court or served in connection with such action or claim as may be requested in writing by the Commission. If any document referred to in clause (1) or (2)--

  1. is delivered to such company or party defendant, such document shall be filed with the Commission not later than ten days after the receipt thereof; or

  2. is filed in such court or delivered by such company or party defendant, such document shall be filed with the Commission not later than five days after such filing or delivery.


Legislative History


Aug. 22, 1940, ch 686, Title I, § 33, 54 Stat. 839; Dec. 14, 1970, P.L. 91-547, § 19, 84 Stat. 1428.


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