Mutual Fund to ETF Conversion
Nottingham
by Nottingham
9M ago
After completing the first ever multi-class open end mutual fund to ETF conversion in early 2021, Nottingham got together to speak with Greg Rutherford (Founder of Adaptive Investments), Terry Davis (Shareholder with global law firm Greenberg Traurig), and Pete McCabe (COO of Nottingham) to get their thoughts and insights on the conversion.   https://www.ncfunds.com/etfvideo/RCTNC0921001_final.mp4 The post Mutual Fund to ETF Conversion appeared first on Nottingham ..read more
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Interval and tender offer closed-end funds
Nottingham
by Nottingham
9M ago
Interval funds are closed-end managed investment companies registered under the Investment Company Act of 1940 that rely on Rule 23c-3 to periodically offer to repurchase shares at NAV from shareholders at predetermined intervals. Tender offer funds are also closed-end funds registered under the ‘40 Act that conduct periodic tender offers on a discretionary basis pursuant to the applicable provisions of the Securities Exchange Act of 1934. Unlike traditional closed-end funds that distribute their shares using an initial public offering, interval funds and tender offer funds continuously offer ..read more
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Advisers Act Rule 206(4)-1 (Marketing Rule)
Nottingham
by Nottingham
9M ago
As the compliance date for the Advisers Act Rule 206(4)-1 (Marketing Rule) quickly approaches, the SEC has issued an alert outlining key areas of focus. Are you ready? Learn more here. The post Advisers Act Rule 206(4)-1 (Marketing Rule) appeared first on Nottingham ..read more
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Nottingham named to Great Employer list
Nottingham
by Nottingham
9M ago
Nottingham has been included in the Best Companies Group list of Great Employers in North Carolina again this year – and we are so honored! Aside from a great benefits package, we offer remote and blended work options and a pet friendly environment. The post Nottingham named to Great Employer list appeared first on Nottingham ..read more
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Investing in Pot Stocks – Are They On Fire… Or Going Up In Smoke
Nottingham
by Nottingham
9M ago
Interested in investing in cannabis but don’t know where to start?  Learn more from Nottingham CEO, Kip Meadows, about investing in pot stocks during this episode of The Money Tree podcast. The post Investing in Pot Stocks – Are They On Fire… Or Going Up In Smoke appeared first on Nottingham ..read more
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New Fund of Funds Rule – Compliance Date Fast Approaching…
Nottingham
by Nottingham
9M ago
By Matt Baskir Included within the frenetic activity of new rulemaking last year, in October 2020, the SEC announced changes to Section 12(d)(1) of the Investment Company Act of 1940, as amended, and related rules, commonly referred to as the “Fund of Funds Rule.” The stated purpose of the regulatory changes was to “create a more consistent and efficient rules-based regime for the formation and oversight of funds of funds.” The compliance date for the new regulatory framework is January 19, 2022. The newly-implemented Rule 12d1-4 allows the acquisition of underlying funds in excess of the pres ..read more
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Nottingham continues its industry leading ETF services with three more mutual fund to ETF conversions
Nottingham
by Nottingham
9M ago
Adaptive ETFs: AQGX, AI Quality Growth ETF RHTX, RH Tactical Outlook ETF RHRX, RH Tactical Rotation ETF NEWS RELEASE BY Nottingham Rocky Mount, NC | November 10, 2021 11:11 AM, Eastern The Nottingham Company (“Nottingham”), a leading non-bank ETF fund administrator and consultant to the mutual fund and ETF industry, is pleased to announce completion and launch of three new ETF conversions from open-end mutual funds. Each of the ETFs is part of the Adaptive ETFs family of funds. Two additional mutual fund to ETF conversions are expected to launch next week. The three ETFs have lis ..read more
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Compliance Programs – Proactive as Opposed to Reactive
Nottingham
by Nottingham
9M ago
By Matt Baskir Not an issue until it becomes an ENORMOUS issue… A mantra that I often use in my work with registered investment companies, investment advisers and broker-dealers is that your compliance program should be proactive as opposed to reactive. The new Director of the SEC’s Division of Enforcement stressed the same message earlier this month. The primary reason is that regulators, including the SEC and FINRA, expect firms to self-regulate and maintain strong, agile and ever-evolving compliance programs. Such self-regulation could mean self-reporting material issues with the increased ..read more
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BBD’s Industry Insights Video Series: Mutual Fund to ETF Conversions
Nottingham
by Nottingham
9M ago
Nottingham’s Jace Schuppan joins BBD’s Jim Kaiser in a conversation about mutual fund to ETF conversions for the first episode of Industry Insights.  Listen here. The post BBD’s Industry Insights Video Series: Mutual Fund to ETF Conversions appeared first on Nottingham ..read more
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Interval and tender offer closed-end funds
Nottingham
by Nottingham
1y ago
Interval funds are closed-end managed investment companies registered under the Investment Company Act of 1940 that rely on Rule 23c-3 to periodically offer to repurchase shares at NAV from shareholders at predetermined intervals. Tender offer funds are also closed-end funds registered under the ‘40 Act that conduct periodic tender offers on a discretionary basis pursuant to the applicable provisions of the Securities Exchange Act of 1934. Unlike traditional closed-end funds that distribute their shares using an initial public offering, interval funds and tender offer funds continuously offer ..read more
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