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Investment advisers have widely panned the Trump Administration’s efforts to rein in sustainable investments. Under rules proposed by Department of Labor officials June 30, pension ...
By the time you finish reading this story, three more of your fellow humans will have developed Alzheimer’s disease. More than 50 million people around ...
Investment advisers and broker-dealers should take extra steps to make sure they’re validating investors’ identities and the authenticity of disbursement instructions, have “a trusted contact ...
Republican SEC Commissioners have approved new rules that define proxy advisors as “solicitors” and voted in favor of issuing new guidance warning investment advisers to ...
Pension managers and advisers would not be allowed put their clients’ money in sustainable investments if the ethical goals of the investments lower returns or ...
Redwood Trust, Inc. Aug. 15, 2019   Investment Company Act of 1940 – Section 3(c)(5)(C)   August 15, 2019   RESPONSE OF THE CHIEF COUNSEL'S ...
Lehman Brothers Holdings Inc. Aug. 12, 2019   Investment Company Act of 1940 – Section 7 August 12, 2019 Response of the Chief Counsel’s Office ...
XAI Octagon Floating Rate & Alternative Income Term Trust Aug. 6, 2019   Response of the Office of Chief Counsel Division of Investment Management August ...
Cushing MLP & Infrastructure Total Return Fund and Cushing Renaissance Fund Aug. 6, 2019   RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...
The BNY Mellon Family of Funds, et al. July 9, 2019 Investment Company Act of 1940 – Section 15(a) Certain Disclosure Requirements July 9, 2019 ...
Golub Capital Investment Corporation, et al. June 24, 2019   Investment Advisers Act of 1940 – Section 205(b)(3)   June 24, 2019 Response of the ...
Stradley Ronon Stevens & Young, LLP June 24, 2019 Investment Company Act of 1940 – Sections 5(b), 13(a)(1) and 34(b) June 24, 2019 RESPONSE OF ...
You also represent that in relying on the requested relief to sell common shares of beneficial interest, each Fund will sell newly issued shares ...
the Advisers continued to serve as investment advisers to certain series of the Quaker Investment Trust (the “Trust”) for a limited period of time pursuant ...
we would not recommend that the Commission take any enforcement action under Section 5(b) or Section 6(a) of the Securities Act against the Fund ...
We welcome input and engagement from all interested parties regarding the potential considerations posed by digital assets with respect to the Custody Rule.
You state that the purpose of your letter is to request from the staff a no-action position for certain situations where in-person voting requirements may ...
Staff Letter No-Action relief under Section 206(4) and Rule 206(4)-2 under the Investment Advisers Act of 1940 Dec. 20, 2018 Investment Advisers Act Section 206(4) ...
We would not recommend that the Commission take any enforcement action under Section 5(b) or Section 6(a) of the Securities Act against any Fund if ...
We agree that the position you are requesting from us is consistent with the Commission’s approach in adopting Rule 38a-1 and would allow boards to ...
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