Tag: Investment Company Act

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Recent Related Articles to Investment Company Act

SEC Answers Questions on New Tailored Shareholder Report Requirements - JD Supra

Added to Collection on: 2024-02-27 00:25:27

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Investment funds
SEC filings
Mutual funds
Investment management
Exchange-traded fund
Closed-end fund
Form N-1A
Investment company
U.S. Securities and Exchange Commission
Exchange-traded product
Investment Company Institute
Investment Company Act

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Securities Laws Fundamentals for Venture Capital Fund Managers - TheFundLawyer

Added to Collection on: 2024-04-02 21:25:04

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76th United States Congress
Financial history of the United States
Institutional investors
Financial regulation
U.S. Securities and Exchange Commission
Financial adviser
Accredited investor
Registered Investment Adviser
Mutual fund
Investment Advisers Act
United States Securities Regulation
Investment Company Act

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First Trust Announces Shareholder Approval of New Investment Sub-Advisory Agreement ...

Added to Collection on: 2024-04-16 20:14:24

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Investment management
Investment funds
Institutional investors
Investment trust
Investment Company Act
Net asset value
Exchange-traded fund
Closed-end fund
Assets under management
Mutual fund
Registered Investment Adviser
SSI Investment Management LLC
First Trust Advisors LP
Wheaton

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Portman Ridge Finance Corporation Establishes 10b5-1 Stock Trading Plan

Added to Collection on: 2024-04-16 13:29:34

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Stock market
Share repurchase
SEC Rule 10b5-1
SEC Rule 10b-5
Equity
Investment Company Act
NASDAQ
Securities Exchange Act
Form 10-K
SEC filing
U.S. Securities and Exchange Commission
Ridge Finance Corporation
Portman Ridge Finance Corporation

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Kraken Responds to SEC Lawsuit With Call for Dismissal - iGaming.org

Added to Collection on: 2024-05-11 14:30:38

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Kraken
Cryptocurrencies
Private currencies
U.S. Securities and Exchange Commission
Polish Securities and Exchange Commission
Securities and Exchange Commission
Investment Company Act

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Key Exemptions Regarding SEC and CFTC Apply to Hedge Funds

Added to Collection on: 2024-06-12 17:20:47

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Investment
Hedge funds
Institutional investors
Financial regulation
Financial markets
Accredited investor
Regulation D
Investment company
Investment Company Act
United States Securities Regulation
Investment fund
Form D
United States

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SEC Form 3 filed by new insider Welsh David S. - Quantisnow

Added to Collection on: 2024-07-25 13:56:26

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U.S. Securities and Exchange Commission
73rd United States Congress
SEC filings
76th United States Congress
Financial history of the United States
Investment Company Act
Securities Exchange Act
Security
Investment company
National Securities Markets Improvement Act

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Amendment: SEC Form SC 13G/A filed by Crown Holdings Inc. - Quantisnow

Added to Collection on: 2024-08-12 14:19:21

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Stock market
SEC filings
Security
Investment Company Act
Regulation S-K
Vanguard Group Inc.

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Outlook Dark for the SEC's ESG Rule After Loper Bright | Carlton Fields - JD Supra

Added to Collection on: 2024-10-04 17:04:21

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Ethical investment
Ethical banking
Corporate governance
Environmental, social, and governance
Environmentalism
Chevron U.S.A., Inc. v. Natural Resources Defense Council, Inc.
Loper Bright Enterprises v. Raimondo
United States Securities Regulation
Registered Investment Adviser
Financial adviser
Investment Company Act
Regulation S-K

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SEC's $8.2B in Financial Remedies Highest in History | PLANADVISER

Added to Collection on: 2024-11-23 13:24:04

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Corporate crime
U.S. Securities and Exchange Commission
Fraud
Gary Gensler
Securities fraud
Registered Investment Adviser
Cryptocurrency
Financial adviser
Mutual fund scandal
Investment Company Act

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