The SEC proposed rules and amendments designed to promote research on registered closed-end funds, mutual funds, exchange traded funds, BDCs, and similar covered investment funds. The proposal intends to reduce obstacles to providing research on investment funds by harmonizing the treatment of such research, giving investors greater access to research to make better-informed investment decisions. Generally, the proposed changes would establish a safe harbor for a broker or dealer to publish or distribute research reports on investment funds under certain conditions, similar to the regulatory safe harbor that currently exists for research reports on other public entities.
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