The SEC has approved an order from an alternative registered investment company (fund) to suspend redemptions due to the fund’s inability to value swaps in the fund’s portfolio, and therefore,...
The SEC has fined an Iowa-based dual-registrant over $20 million in connection with “disclosure failures and misleading statements to clients” arising from share class selection, revenue sharing, and compensation practices...
In a recent speech, the SEC’s Division of Investment Management Director Dalia Blass reflected on the Division’s hard work and accomplishments throughout the year. She praised her staff’s hard work...
The SEC has adopted rules that will streamline the registration, communications, and offering processes for registered closed-end funds and BDCs, to make them more consistent with rules currently applicable to...
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