Sec closed end funds
SEC Modernization in Plain English
for closed-end funds only. In addition, the SEC adopted conforming amendments to Forms N-1A, N-3 and Form N-CSR and certain rules under the 1940 Act, including for example, the certification requirements of Form N-CSR. Effective August 1, 2019, the Form N-Q will be rescinded which
[PDF File]IFRS for Investment Funds - IAS Plus
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funds, closed-end funds, exchange-traded funds, and unit investment trusts, issued a letter to the SEC to comment on the SEC’s concept release on allowing U.S. issuers, including investment companies subject to the Investment Company Act of 1940, to prepare fi nancial statements in accordance with IFRS. The ICI recommended that
[PDF File]STATEMENT OF ADDITIONAL INFORMATION SABA CLOSED …
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consisting of multiple investment series. This SAI relates to the Saba Closed-End Funds ETF (the “Fund”). The Trust was organized as a Delaware statutory trust on April 4, 2012. The Trust is registered with the U.S. Securities and Exchange Commission (the “SEC”) under the Investment Company Act of …
[PDF File]BlackRock Taxable Closed-End Funds Summary of Dividends ...
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be found in the Funds' prospectuses which may be obtained by visiting the SEC Edgar database. Read the prospectus carefully before investing. Common shares for most of the closed-end funds identified above are only available for purchase and sale at current market price on a stock exchange.
[PDF File]Converting a Mutual Fund to an ETF - Key Considerations
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documents to effect such conversions. While the SEC has allowed conversions of closed-end funds to ETFs and Canadian regulators have allowed mutual funds to convert to ETFs, there is no assurance that the agency will make available this option to mutual funds or that it …
[PDF File]Value in Municipal Bond Closed-End Funds
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Value in Municipal Bond Closed-End Funds ... Averages are market weighted. 30-Day SEC Yield is a standard yield calculation developed by the Securities and Exchange Commission that allows for fairer comparisons primarily among bond funds. It is based on the most recent 30-day period. This yield figure reflects the interest earned during the
[PDF File]IP No. 158
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Closed-End: Not redeemable - A closed-end fund is not required to buy shares back from investors upon request. However, closed-end funds may offer to repurchase shares at specified intervals (interval funds). As noted above, CEFs are traded on an exchange and …
[PDF File]Structuring Direct Lending Funds: Open-Ended vs. Private ...
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Sep 27, 2017 · From most legal and operational perspectives, the closed end structure is preferable Key advantages of closed end: fund economic terms not determined by NAVs • SEC doesn't like these funds • Regulator and investor concerns about such structures: unreliability of NAVs
[PDF File]RMK Closed End Funds Class Action Settlement
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RMK Closed End Funds Class Action Settlement January 25, 2013. Claimants in this settlement should know that Morgan Keegan is not involved in the distribution process for the RMK Closed End Funds Class Action Settlement. The firm and our advisors are able to provide only limited information to
[PDF File]Introduction and Overview of 40 Act Liquid Alternative Funds
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Managed Futures Mutual Funds 9 III. Overview of Alternative Closed-End Funds 11 Alternative Exchange-Traded Funds 11 Continuously Offered Interval or Tender Offer Funds 12 Business Development Companies 13 Unit Investment Trusts 14 IV. Requirements for 40 Act Liquid Alternative Funds 15 Registration and Regulatory Filings 15
[PDF File]NYSE Arca E listing fees 9-19-17
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Closed-End Funds The Listing Fees set out in this section apply to equity securities of closed-end funds. This Listing Fee Schedule is applicable when a closed-end fund first lists a class of common stock, or first lists a class of preferred stock in a case where common stock is not already
[PDF File]SEC Proposes New Rule for Fund-of-Funds Arrangements
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The Proposed Rule would permit registered open-end funds, UITs, closed-end funds (including business development companies), exchange-traded funds (“ETFs”) and exchange-traded management funds (“ETFMs”) to rely on the Proposed Rule as both acquiring funds and acquired funds, subject to compliance with certain conditions. The Proposed Rule
[PDF File]Subtitle X—Modernized Offering and Proxy Rules for Closed ...
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At the end of title IV, insert the following: 1 Subtitle X—Modernized Offering 2 and Proxy Rules for Closed-End 3 Funds 4 SEC. 499A. PARITY FOR CLOSED-END COMPANIES REGARD-5 ING OFFERING AND PROXY RULES. 6 (a) REVISION TO RULES.—Not later than 1 year 7 after the date of enactment of this Act, the Securities and
[PDF File]Investment Management Regulatory Update
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Aug 20, 2013 · SEC Extends Immediate Effectiveness of Post-Effective Amendments to Additional Closed End Funds On June 26, 2013, the Division of Investment Management of the SEC issued seven noaction letters- to more than 30 closed-end funds (the “Requesting Funds”) that enable the Requesting Funds to update
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