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SEC to Examine Never-Before-Examined Registered Investment Companies

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April 23, 2015
Client Alert

The Securities and Exchange Commission staff recently announced an initiative to conduct examinations of registered investment company complexes that have not previously been examined. The SEC staff will focus on open-end funds (i.e., mutual funds), closed-end funds, and underlying insurance funds. The emphasis will be on registered investment company complexes that were launched one or more years ago.

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