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93x39: SF 450 Form and Excepted Investment Funds

December 20, 1993

Excepted investment funds (EIF) allow for reduced disclosure because these funds are widely held, widely diversified or publicly traded, and not self-directed.  However, in some circumstances, EIF funds may not be as widely diversified and employees may have knowledge of the fund’s holdings, presenting a potential to violate 18 U.S.C. § 208.

(link to PDF version)