Member Call to Discuss NYSE's Proposed Rule Change Limiting Listed Closed-End Fund Investments in Private Funds - Thursday, April 29 at 1:00 pm (Eastern)
[33499]
April 26, 2021
TO: Accounting/Treasurers CommitteeChief Compliance Officer Committee
Chief Risk Officer Committee
Closed-End Investment Company Committee
SEC Rules Committee
Small Funds Committee RE: Member Call to Discuss NYSE's Proposed Rule Change Limiting Listed Closed-End Fund Investments in Private Funds - Thursday, April 29 at 1:00 pm (Eastern)
As previously reported, the New York Stock Exchange recently proposed a rule change that would establish limits on listed closed-end fund investments in private funds.[1] An ICI Memorandum describing the proposed rule change is available at: https://www.ici.org/memo33498.
ICI will have a one-hour member call to discuss the proposed rule change and potential comments on Thursday, April 29 beginning at 1:00 pm (Eastern Time). If you would like to participate in the call, please contact Nadia Ishmael at nadia.ishmael@ici.org to receive dial-in information. In the meantime, if you have any questions or comments, please contact Kenneth Fang at kenneth.fang@ici.org.
Comments on the proposed rule change are due to the SEC by Monday, May 17, 2021.
Kenneth Fang
Associate General Counsel
endnotes
[1] See New York Stock Exchange, Form 19b-4 Filing Proposing to Amend Section 102.04 of the NYSE Listed Company Manual to Establish Limits on Investments in Unregistered Investment Vehicles by Listed Closed-End Funds, available at www.nyse.com/publicdocs/nyse/markets/nyse/rule-filings/filings/2021/SR-NYSE-2021-20%20refi.pdf. See also Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change Amending Section 102.04 of the NYSE Listed Company Manual to Establish Limits on Investments in Unregistered Investment Vehicles by Listed Closed-End Funds, 86 Fed. Reg. 22080-82 (Apr. 26, 2021), available at www.govinfo.gov/content/pkg/FR-2021-04-26/pdf/2021-08566.pdf.