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Expert Analysis

SEC Rule Would Improve Exemptive Applications — For Some

By Donald Crawshaw, William Farrar and Michelle Chen ( November 8, 2019, 5:36 PM EST) -- On Oct. 18, the U. S. Securities and Exchange Commission issued a release proposing to amend Rule 0-5 under the Investment Company Act of 1940 to establish an expedited review procedure for routine exemptive applications that are substantially identical to recent precedent, and to adopt a new rule to set an internal time frame for the staff of the Division of Investment Management to take action on exemptive applications that do not qualify for the expedited review procedure. [1]. . .

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