Tag: Investment Company Act

Tag Visualization: Top 50 related tags by occurrence

Recent Related Articles to Investment Company Act

What's in a Name? The SEC's Verdict, and Fallout, for Funds. - Institutional Investor

Added to Collection on: 2023-09-22 15:23:51

Tags for this article:

Investment
Institutional investors
Financial markets
Hedge fund
U.S. Securities and Exchange Commission
Financial adviser
Investment fund
Private equity
Investment Company Act

Click the tags to see associated articles and topics

View Article Details
SEC Adopts Amendments to the Fund “Names Rule” | Seward & Kissel LLP - JD Supra

Added to Collection on: 2023-09-26 17:09:47

Tags for this article:

76th United States Congress
Financial history of the United States
Investment Company Act
Investment fund
Net asset value
U.S. Securities and Exchange Commission

Click the tags to see associated articles and topics

View Article Details
SEC Crypto Regulations: What Financial Advisors Need to Know - Investopedia

Added to Collection on: 2023-12-07 22:21:14

Tags for this article:

Cryptocurrencies
U.S. Securities and Exchange Commission
Coinbase
Investment Company Act
Initial coin offering
Binance
United States Securities Regulation
Securities market participants
Cryptocurrencies in Europe
SEC v. Wahi
V. Gerard Comizio

Click the tags to see associated articles and topics

View Article Details
SEC Receives Application From Financial Services Company To Issue New Interest-Bearing ...

Added to Collection on: 2024-01-24 19:45:49

Tags for this article:

Stock market
Cryptocurrencies
Stablecoin
Security
Investment Company Act
Ponzi scheme
Public key certificate

Click the tags to see associated articles and topics

View Article Details
SEC forces hedge funds, high-frequency traders to register in latest showdown with industry

Added to Collection on: 2024-02-06 22:55:42

Tags for this article:

Financial markets
U.S. Securities and Exchange Commission
Hedge fund
Security
Dow Jones & Company
Broker-dealer
High-frequency trading
Gary Gensler
Investment Company Act

Click the tags to see associated articles and topics

View Article Details
SEC Rules: Buying & selling securities as a part of a regular business - RSM US

Added to Collection on: 2024-02-15 20:03:31

Tags for this article:

Financial markets
73rd United States Congress
U.S. Securities and Exchange Commission
United States securities law
Registered Investment Adviser
Securities Exchange Act
Securities market
Security
Investment Company Act
Financial adviser
Broker-dealer
Regulation S-K

Click the tags to see associated articles and topics

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

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

Tags for this article:

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

Click the tags to see associated articles and topics

View Article Details
Securities Laws Fundamentals for Venture Capital Fund Managers - TheFundLawyer

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

Tags for this article:

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

Click the tags to see associated articles and topics

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

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

Tags for this article:

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

Click the tags to see associated articles and topics

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

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

Tags for this article:

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

Click the tags to see associated articles and topics

View Article Details