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Practice Pointers: Form N-CSR

Book Publication Date: Jan 2021
Description: Twelve Practice Pointers for SEC Form N-CSR, which is filed semiannually by registered management investment companies pursuant to Rule 30b2-1 under the Investment Company Act of 1940
Type: Other Document Templates, Checklists
PLI Item #: 41384
Practice Area: Banking and finance, Exchange-traded funds, Financial services, Investment companies, Investment fund management, Mutual funds, Regulation and compliance (Banking and finance), Securities and other financial products

Keywords: "Practice Pointers: Form N-CSR"; "Sarbanes-Oxley Act of 2002"; "Rule 30e-1"; " Form 12b-25"; "shareholder reports"; reports to stockholders; code of ethics; disclosure of audit committee financial expert; principal accountant fees and services; audit committee of listed registrants; investments; Disclosure of Proxy Voting Policies and Procedures for Closed-End Management Investment Companies; Portfolio Managers of Closed-End Management Investment Companies; Purchases of Equity Securities by Closed-End Management Investment Company and Affiliated Purchasers; Submission of Matters to a Vote of Security Holders

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