United States Government Publishing Office publisher pbl distributor dst United States National Archives and Records Administration Office of the Federal Register author aut Government Organization text government publication eng FR Regulatory Information 2004_register executive 2010-09-22 article Part IV Rules and Regulations D09002ee1c814f229 D09002ee1c814f2e2 United States Securities and Exchange Commission originator org United States Government Agency or Subagency The Securities and Exchange Commission ("Commission") is adopting amendments to rules under the Investment Company Act of 1940 to require investment companies ("funds") that rely on certain exemptive rules to adopt certain governance practices. The amendments are designed to enhance the independence and effectiveness of fund boards and to improve their ability to protect the interests of the funds and fund shareholders they serve. 69 FR 46378 https://www.govinfo.gov/app/details/FR-2004-08-02/04-17460 04-17460 fr02au04-11 RIN 3235-AJ05 8010-01-P Release No. IC-26520 File No. S7-03-04 https://www.govinfo.gov/app/details/FR-2004-08-02/04-17460 https://www.govinfo.gov/content/pkg/FR-2004-08-02/html/04-17460.htm https://www.govinfo.gov/content/pkg/FR-2004-08-02/pdf/04-17460.pdf Investment Companies Reporting and Recordkeeping Requirements Securities 16 p. 46378 46393 69 FR 46378 Title 17 Part 270 17 CFR Part 270 RIN 3235-AJ05 Investment Company Governance; Federal Register Vol. 69, Issue RULE 04-17460 IV SECURITIES AND EXCHANGE COMMISSION 2004-09-07 Release No. IC-26520 File No. S7-03-04 8010-01-P 04-17460 Final rule.

The Securities and Exchange Commission ("Commission") is adopting amendments to rules under the Investment Company Act of 1940 to require investment companies ("funds") that rely on certain exemptive rules to adopt certain governance practices. The amendments are designed to enhance the independence and effectiveness of fund boards and to improve their ability to protect the interests of the funds and fund shareholders they serve.

Effective date: September 7, 2004. Catherine E. Marshall, Attorney, Office of Investment Adviser Regulation, (202) 942-0719; C. Hunter Jones, Assistant Director, Office of Regulatory Policy, (202) 942-0690, Division of Investment Management, Securities and Exchange Commission, 450 Fifth St., NW, Washington, DC 20549-0506. Investment Companies Reporting and Recordkeeping Requirements Securities Investment companies: Investment company governance practices, house.gov/media/pdf/02-14-70%20memo.pdf http://banking.senate.gov/files/ruder.pdf http://www.ici.org/issues/dir/03_fund_gov_best_stmt.html http://www.ici.org/pdf/rpt_best_practices.pdf http://www.sec.gov/investor/pubs/inwsmf.htm#key http://www.sec.gov/news/openmeetings.shtml Vol. 69, no. 147 Office of the Federal Register, National Archives and Records Administration 2004-08-02 continuing daily deposited born digital 316 p. Table of Contents: AE 2.7: GS 4.107: AE 2.106: KF70.A2 https://www.govinfo.gov/app/details/FR-2004-08-02 P0b002ee18096bd4a 0097-6326 0042-1219 0364-1406 769-004-00000-9 000582072 f:fr02au04 https://www.govinfo.gov/app/details/FR-2004-08-02 https://www.govinfo.gov/content/pkg/FR-2004-08-02/pdf/FR-2004-08-02.pdf https://www.govinfo.gov/content/pkg/FR-2004-08-02/xml/FR-2004-08-02.xml fdlp 46095 46397 DGPO 2010-09-22 2024-06-06 FR-2004-08-02 machine generated eng FR FR-2004-08-02 69 147