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: Securities Law Prof Blog

Gabelli Settles Charges of Failing to Provide Notice of Source of Distributions

By Securites Lawprof

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On January 12, the SEC settled an enforcement action against investment adviser Gabelli Funds, LLC (Gabelli) for violations of Section 19(a) of the Investment Company Act of 1940 (Investment Company Act) and Investment Company Act Rule 19a-1. Section 19(a) of...

Full post as published by Securities Law Prof Blog on January 14, 2009 (boomark / email).

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