George Zornada

George Zornada

K&L Gates LLP

Contact
View Bio
RSS

Latest Posts › ETMFs

Share:

Fund of Funds Rule Adoption—A Deeper Dive Into the Impact of Rule 12d1-4 on Closed-End Funds and Business Development Companies

I. INTRODUCTION - On October 7, 2020, the Securities and Exchange Commission (SEC) adopted new rule 12d1-4 (Rule 12d1-4) and related amendments under the Investment Company Act of 1940 (as amended, the 1940 Act) in an effort...more

11/18/2020  /  Asset Management , Capital Markets , ETFs , ETMFs , Fund of Funds , Investment , Investment Adviser , Investment Company Act of 1940 , Rule 12d1-4 , Securities and Exchange Commission (SEC)

SEC Adopts New Rule 12d1-4 Overhauling Fund of Funds Arrangements--Are You Ready?

I. EXECUTIVE SUMMARY - On 7 October 2020, the Securities and Exchange Commission (the SEC) adopted new rule 12d1-4 (Rule 12d1-4) and related amendments under the Investment Company Act of 1940 (the 1940 Act) that it believes...more

10/27/2020  /  ETFs , ETMFs , Investment Adviser , Investment Companies , Investment Company Act of 1940 , Investment Funds , Securities and Exchange Commission (SEC) , Voting Requirements
2 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide