(a) Las políticas de inversión de dicha compañía inscrita, según comunicadas en su solicitud de inscripción y los informes radicados bajo este capítulo, no permiten dicho préstamo.
(b) Dicho préstamo está prohibido por cualquier disposición de ley o reglamento.
(c) Dicha persona controla o está bajo el control común de dicha empresa inscrita; Disponiéndose, que las disposiciones de este inciso no aplicarán a préstamos de una compañía inscrita a otra compañía que es dueña de todos los valores mobiliarios de dicha compañía inscrita, excepto los valores mobiliarios de sus directores; Disponiéndose, además, que este inciso no se debe entender como que limita la habilidad de compañías de inversión a entrar en acuerdos de recompra con persona o compañía alguna.
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