On July 6, 2020, the Securities and Exchange Commission (the “Commission”) adopted rule amendments (the “Amendments”) to the exemptive relief application process under the Investment Company Act of 1940, as amended (the “1940...more
The Securities and Exchange Commission (the "SEC") recently proposed a revised version of new Rule 18f-4 (the "Proposed Rule") under the Investment Company Act of 1940, as amended (the "1940 Act"), which it originally...more
12/20/2019
/ Business Development Companies ,
Derivatives ,
ETFs ,
Form N-CEN ,
Form N-LIQUID ,
Form N-PORT ,
Investment Company Act of 1940 ,
Proposed Amendments ,
Proposed Regulation ,
Proposed Rules ,
Public Comment ,
Public Disclosure ,
Recordkeeping Requirements ,
Risk Management ,
Rule 18f-4 ,
Securities and Exchange Commission (SEC)