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Fund of Funds: Regulation (15)
Your search for Fund of Funds: Regulation returned 15 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...
3/21/2019 | Content area: Investment Adviser
After achieving 100% of its planned milestone’s last year, the SEC’s Division of Investment Management is actively moving on a number of priorities co...
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...
3/08/2017 | Content area: Investment Adviser
We would not recommend enforcement action to the Commission under Section 12(d)(1)(A) or (B) of the 1940 Act against a Foreign Feeder Fund that acquir...
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...
7/31/2006 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
7/10/2006 | Content area: Investment Adviser
Alternative Investment Partners Absolute Return Fund STS: No-Action letter dated July 10, 2006 Investment Company...
5/13/2005 | Content area: Investment Adviser
Investment Company Act of 1940 - Sections 12(d)(1)(A) and 12(d)(1)(B) Principal Investors Fund Inc. May 1...
4/30/2004 | Content area: Investment Adviser
No-Action Letter under: Investment Company Act of 1940 - Section 7(d) and 12(d)(1)(e) Man-Glenwood Lexington ...
4/29/2004 | Content area: Investment Adviser
Investment Company Act of 1940 - Sections 6(c), 11(a), 11(c), 12(d)(1)(j), and 17(b) Fixed Income Securities...
1/15/2004 | Content area: Investment Adviser
Investment Company Act of 1940 Section 17(f) and Rule 17f-2 Maxim Series Fund Inc. January 15, 2004 ...
10/21/2003 | Content area: Investment Adviser
Investment Company Act of 1940 Sections 6�, 17(b), 12(d)(i)(j) and Rule 17d-1 MTB Group of Funds Octo...
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...


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