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Fund of Funds (10)
Your search for Fund of Funds returned 10 results.
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5/09/2019 | Content area: Investment Adviser
Nothing like calling out a real-world example in an attempt to persuade SEC commissioners that a proposal needs to be revised.   More than one adviser...
4/30/2019 | Content area: Investment Adviser
This letter came from a 2019 OCIE exam of an IA.
3/08/2019 | Content area: Investment Adviser
You still have plenty of time – until May 2 – to comment on the SEC’s recent proposal to rescind one rule and add a new one defining what registered f...
12/20/2018 | Content area: Investment Adviser | Private Fund
There may be 12 days of Christmas but you can count six regulations – four final rules and two proposals – newly gifted from SEC commissioners. Only o...
12/19/2018 | Content area: Investment Adviser
The Securities and Exchange Commission (the “Commission”) is proposing a new rule under the Investment Company Act of 1940 (“Investment Company Act” o...
10/26/2017 | Content area: Investment Adviser | Private Fund
    Investment Company Act of 1940 – Section 17(d) / Rule 17d-1 October 26, 2017 RESPONSE OF THE OFFICE OF CHIEF COUNSEL...
10/03/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Reporting by investment advisers to private funds on Form PF. If you are an investment adviser registered or required to be registered under secti...
9/26/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
The Investment Advisers Act of 1940Section 204 -- Reports by Investment Advisers Every investment adviser who makes use of the mails or of any means o...
4/04/2014 | Content area: Investment Adviser | Private Fund
This is guidance released in 2014 by the Division of Investment Management having to do with an aggregate fee rate under a multi-manager structure.
10/12/2012 | Content area: Investment Adviser | Private Fund
Since section 12(d)(1)(G) was adopted, we have received inquiries about whether a fund that intends to operate in reliance on that section is required...


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