Seminar November 2, 2021

IPAConnect 2021 - Unlisted Closed End Funds: Interval and Tender Offer

Event Detail
Martin H. Dozier
November 2, 2021
10:45 AM - 11:45 AM Eastern Standard Time
Sheraton New York Times Square Hotel
New York, NY

Martin Dozier will moderate the panel, “Regulatory and Compliance Landscape” at the 2021 IPAConnect - Unlisted Closed End Funds: Interval and Tender Offer. This panel will discuss the salient features of the 1940 Act regulatory structure for RCEF’s and relevant benefits and safeguards for BD’s, RIA/FA’s and investors derived therefrom. Panel may also address SEC, FINRA, tax & compliance considerations.

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Meet The Speakers
Media Contacts
Alex Wolfe
Communications Director

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