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Closed End Funds: Regulation (5)
Your search for Closed End Funds: Regulation returned 5 results.
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10/04/2018 | Content area: Investment Adviser
The SEC’s Division of Investment Management is revisiting the prohibition on the use of testimonials as part of its broader effort to consider recomme...
9/21/2016 | Content area: Investment Adviser
You state that utilization of Rule 486(b) would help ensure that the Fund has the ability to raise capital as the opportunity arises, and could reduce...
11/10/2004 | Content area: Investment Adviser
Investment Company Act of 1940 - Section 31(a) and Rule 31a-2 Application of Rule 38a-1 to a Closed-End In...
4/30/2003 | Content area: Investment Adviser
No-Action Letter under: Investment Company Act of 1940 - Section 6© and Rule 17(d) Neuberger Berman Management Inc. et. al...
10/18/2002 | Content area: Investment Adviser
No-Action Letter under Investment Company Act of 1940 - Section 6( c), 12(d)(1)(j) and 17(b); Rule 17d-1 F...


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