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Determining if an Investment Fund is Registered under the 1940 Act Job Aid

Click the link under the course materials to download the document.

This document is a job aid, providing ethics officials with step-by-step instructions to determine if an investment fund is registered under the Investment Company Act of 1940 (1940 Act). An investment fund must be registered under the 1940 Act to qualify for the mutual fund exemptions to 18 U.S. Code 208 found at 5 Code of Federal Regulations 2640.201.

Course Materials
Course Information

04/16/2024

Conflicts of Interest
Confidential Financial Disclosure/450
Public Financial Disclosure/278 Review

18 U.S.C. § 208 - Acts affecting a personal financial interest
5 CFR 2634 - Executive Branch Financial Disclosure Qualified Trusts, and Certificates of Divestiture

No

No

Continuing Education