Regulatory Alerts2018-06-08 | 2018-11497Added
Covered Investment Fund Research Reports
The Securities and Exchange Commission proposes new rules under the Securities Act of 1933 and the Investment Company Act of 1940 to implement the Fair Access to Investment Research Act of 2017. The proposal establishes a safe harbor for unaffiliated broker-dealers to publish covered investment fund research reports without these publications being deemed offers to sell securities. Additionally, the rules exclude such reports from Investment Company Act filing requirements, provided they meet self-regulatory organization content standards.
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