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Federal Register: SEC Adopts Rules to Encourage Publication of Research on Investment Companies

The SEC final rules and a technical amendment intended to encourage broker-dealers to publish research reports on SEC-registered investment companies and business development companies were published in the Federal Register (see previous coverage). The rules will become effective on January 14, 2019.

Primary Sources

  1. Federal Register: SEC Final Rule concerning Covered Investment Fund Research Reports (83 FR 64180)

Tags

Regulated Activities
Research
Regulated Entities
Broker-Dealers
Body of Law
Securities Law
Jurisdiction
US - Federal
Organization
SEC