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Disclosure Regarding Approval of Investment Advisory Contracts by Directors of Investment Companies

SEC · final-rule · Published 2004-06-30 · Effective 2004-08-05 · 69 FR 39798

Document

Document number
04-14755
Federal Register citation
69 FR 39798
CFR reference
17 CFR 239
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2004-06-30
Effective date
2004-08-05
Docket
Release Nos. 33-8433

Abstract

The Securities and Exchange Commission is adopting rule and form amendments under the Securities Act of 1933, the Securities Exchange Act of 1934, and the Investment Company Act of 1940 to improve the disclosure provided by registered management investment companies about how their boards of directors evaluate and approve, and recommend shareholder approval of, investment advisory contracts. The amendments require a registered management investment company to provide disclosure in its reports to shareholders regarding the material factors and the conclusions with respect to those factors that formed the basis for the board's approval of advisory contracts during the most recent fiscal half-year. The amendments also are designed to encourage improved disclosure in proxy statements regarding the basis for the board's recommendation that shareholders approve an advisory contract.

Source

Authoritative
Federal Register document
Machine
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