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Topic: Status and Exemptions - Funds

Failure to Obtain ETF Exemption May Leave Advisers Paying the Penalty

May 5, 2017
Advisers operating exchange-traded funds better know the rules of the road before moving forward. BlackRock Fund Advisors recently settled with the SEC over allegations that it missed one key requirement – and wound up paying a $1.5 million fine.

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Holiday Season Brings Good News to Charitable Investment Funds

January 3, 2014
The SEC staff put a little something in charitable organizations’ stockings last month.

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