The Borrower is not: (a) an “ investment company ” or a company “ controlled ” by an “ investment company ,” within the meaning of the Investment Company Act of 1940, as amended; or (b) a “ holding company ” or a “ subsidiary company ” of a “ holding company ” or an “ affiliate ” of either a “ holding company ” or a “ subsidiary company ” within the meaning of the Public Utility Holding Company Act of 1935, as amended.
investment company acts