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[PDF File]FREQUENTLY ASKED QUESTIONS ABOUT CLOSED-END FUNDS
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FREQUENTLY ASKED QUESTIONS ABOUT CLOSED-END FUNDS Most investors are familiar with mutual funds, or open-end registered investment companies. Closed-end funds, however, may be less familiar to investors. Here we address some of the differences between open-end and closed-end funds and answer

[PDF File]Important Information about Closed-End Funds (including ...
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which provides useful information. Closed-end funds also file regular reports with the SEC. Closed-end fund reports are available from your Baird Financial Advisor or on the SEC’s EDGAR database at www.sec.gov. Characteristics of Interval Funds Some closed-end funds, known as interval funds, provide a daily NAV and can be purchased on a

[PDF File]FORM N-PORT MONTHLY PORTFOLIO INVESTMENTS REPORT
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end of each month. Such information shall be treated as a record under section 31(a)(1) of the Act and rule 31a-1(b) thereunder subject to the requirements of rule 31a-2(a)(2). Reports on Form N-PORT for each month in each fiscal quarter of a fund must be filed with the Commission no later than 60 days after the end of such fiscal quarter.

Quarterly summary of current SEC activities
SEC proposal would amend offering rules for BDCs and closed-end funds The SEC proposed amending. certain of its rules to align the registration, communications and offering rules for busin ess development companies (BDCs) and registered closed-end funds with those that apply to operating companies. The proposal would allow BDCs and closed -end

[PDF File]Final Rule: Investment Company Liquidity Risk ...
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Act was adopted, this feature was recognized as unique to open-end investment companies, 3. and the Act’s classification of management investment companies as either open-end (“open-end funds” or “funds”)4 or closed-end, upon which several of the Act’s other provisions depend,

[PDF File]SEC Proposes Rule Changes for Fund of Funds Arrangements
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that registered open-end funds, unit investment trusts (“UITs”), closed-end funds (including BDCs), exchange-traded funds (“ETFs”), and exchange-traded managed funds (“ETMFs”) could rely on the Proposed Rule as both Acquiring Funds and Acquired Funds. In addition to fund of funds arrangements that are currently permitted under

Sec closed end funds