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The SEC announced a six-month extension of the compliance dates for the Investment Company Act amended “Names Rule” which addresses fund names that may mislead investors.
The IAA joined other trade associations to support a CBOE BZX Exchange proposal to exempt listed closed-end funds from an annual meeting requirement so as to prevent harm to long-term retail investors that are protected by the Investment Company Act of 1940.
The IAA joins other trade associations to support a NYSE proposal to exempt listed closed-end funds from an annual meeting requirement so as to prevent harm to long-term retail investors that are protected by the Investment Company Act of 1940.
The IAA supported the objective of the proposal to make the applications process more efficient. The IAA also supported comments made by the Investment Company Institute regarding the expedited review process, transparency on the timeframe for staff action, and concerns on publication of comments and responses.
The IAA had significant concerns regarding the disruptive impact that the proposed limit on redemptions would have on fund management. The IAA also argued that private funds and foreign funds should be permitted to rely on the proposed rule.
The IAA urged the SEC to reconsider the portfolio investment classification requirements of the fund liquidity rule, consistent with recommendations of a report by the Department of the Treasury.
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