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[PDF File]FREQUENTLY ASKED QUESTIONS ABOUT INTERVAL FUNDS
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An interval fund is a registered closed-end management investment company that periodically offers to buy back its shares from shareholders every three, six or 12 months when relying on Rule 23c-3 under the Investment Company Act of 1940, as amended (the “1940 Act”). Shareholders are not required to accept these offers.
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[PDF File]SECURITIES AND EXCHANGE Washington, DC 20549 Check ...
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numbers (for the Investment Company Act of 1940 registration and/or the Securities Act of 1933 registration, respectively) have already been assigned by the Securities and Exchange Commission. Form N-2 is to be used by closed-end management investment companies, except small business investment companies licensed as such by the United
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[PDF File]PROSPECTUS August 1, 2019
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Pomona Investment Fund (the “Fund”) is a non-diversified, closed-end management investment company that seeks to provide targeted exposure to private equity investments. Investment Objective. The Fund’s investment objective is to seek long-term capital appreciation.
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Closed-End Fund GPM Fund Guggenheim Enhanced Equity …
Investment Companies Risk. The Fund may invest in securities of other open- or closed-end investment companies, including ETFs, that invest primarily in securities of the types in which the Fund may invest directly. The Fund expects that these investments will be primarily in ETFs. As a stockholder in an investment company,
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[PDF File]NYSE American Open-end and Closed-end Management ...
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Is an open-end management investment company Is a closed-end management investment company Part III. INSTRUCTIONS: Issuers listed on the Exchange must comply with the corporate governance requirements set forth in Part 8 of the NYSE American Company Guide (the “Company Guide”). In response to each item below, please
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[PDF File]PROSPECTUS 22,200,000Shares ...
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diversified, closed-end management investment company. The Fund’s investment objective is to provide total return througha combination of capital appreciation and current income. There can be no assurance thatthe Fund will achieve its investment objective. LimitedTerm ...
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[PDF File]Final Rule: Investment Company Liquidity Risk Management ...
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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, turns on whether the investment company’s shareholders have the right to redeem their shares on demand.
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[PDF File]FREQUENTLY ASKED QUESTIONS ABOUT CLOSED-END FUNDS
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between open-end and closed-end funds and answer frequently asked questions regarding the use and structure of closed-end funds. Closed-End Funds What is a closed-end fund? A closed-end fund is a management investment company. Unlike an open-end mutual fund, however, closed-end funds do not continuously offer their shares
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[PDF File]Internal v. External Management Diversified v. Non ...
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Rule 18f-3, under which an investment company can issue multiple classes of voting stock; and Rule 23c-3, under with a registered closed-end investment company can offer to repurchase, at periodic intervals, shares it has issued to investors. Additional statutory safeguards against …
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[PDF File]NYSE Closed-end Management Investment Company …
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For closed-end management investment companies only: I hereby certify that (i) the Issuer has an audit committee that meets the requirements of Section 303A.07 of the Manual and that the composition of such audit committee complies with (or is exempt therefrom) the independence requirements of …
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Closed end management investment company