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Searching Content indexed under Fund Management/ REITs by Maurine Bartlett ordered by Published Date Descending.
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SEC Issues No-Action Letter Addressing Registration Requirements For Certain Advisory Affiliates
The staff of the Securities and Exchange Commission (the "Commission") issued a no-action letter on January 18, 2012 to the American Bar Association’s Subcommittee on Hedge Funds clarifying the registration requirements for certain related entities under the Investment Advisers Act of 1940, as amended (the "Advisers Act").
United States
17 Feb 2012
2
SEC Seeks Public Comment On Treatment Of Asset-Backed Issuers
The Securities and Exchange Commission (the "SEC") recently issued an advance notice of proposed rulemaking (the "ANPR")1 requesting public comment on the treatment of asset-backed issuers2 under Rule 3a-7 under the Investment Company Act of 1940 (the "Investment Company Act").
United States
20 Sep 2011
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