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Comments on Investment Company Act Cross-Trading Rule 17a-7

The IAA called on the SEC to modernize the Investment Company Act cross-trading rule, recommending that the SEC reverse a new definition of “readily available market quotations,” amend the rule to codify relief related to board oversight, and recognize the protections afforded to fund shareholders by the Advisers Act fiduciary duty.

April 11, 2021

Keywords: Cross Trading, SEC, Valuation

Categories & Topics: Brokerage & Trading, Business Ops/HR, Registered Funds

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