Securities and Exchange Commission:

Privately Offered Investment Companies

OGC-97-37: Published: Apr 24, 1997. Publicly Released: Apr 24, 1997.


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Pursuant to a legislative requirement, GAO reviewed the Securities and Exchange Commission's (SEC) new rules on privately offered investment companies. GAO noted that: (1) the rules would provide definitions necessary to effectuate the applicable provisions of the National Securities Markets Improvement Act of 1996 as they apply to privately offered investment companies; (2) the rules would also provide certain interpretative provisions resulting from the changes made by the Act; and (3) SEC complied with applicable requirements in promulgating the rules.

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