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SEC: Staff Statement On Investment Company Cross Trading, Division Of Investment Management Staff Date
11/03/2021
This Staff Statement is presented by the Staff of the Division of Investment Management (the “Staff”). In this statement, the Staff addresses certain aspects of investment company cross trading. The Staff is interested in feedback on ways to enhance the regulatory regime governing investment company cross trading.
This Staff Statement is not a rule, regulation, or statement of the Securities and Exchange Commission (the “Commission”). Furthermore, the Commission has neither approved nor disapproved its contents. This Staff Statement has no legal force or effect: it does not alter or amend applicable law, and it creates no new or additional obligations for any person.