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Rule 17j-1 (17 CFR 270.17j-1) under the Investment Company Act of 1940, Personal Investment Activities of Investment Company Personnel

OMB 3235-0224 · SEC.

OMB 3235-0224

Rule 17j-1 (17 CFR 270.17j-1) under the Investment Company Act of 1940 requires codes of ethics to prevent affiliated persons of investment companies and their investment advisers and principal underwriters from engaging in fraudulent, deceptive, or manipulative practices. The rule also includes reporting requirements for affiliated persons to file reports with their investment company, investment adviser, or principal underwriter with respect to their personal securities transactions. The investment company, investment adviser, and principal underwriter must keep records of, among other things, the codes of ethics and certain reports, and make these records available to the Commission or any representative of the Commission at any time and from time to time for reasonable periodic, special or other examination.

The latest form for Rule 17j-1 (17 CFR 270.17j-1) under the Investment Company Act of 1940, Personal Investment Activities of Investment Company Personnel expires 2028-07-31 and can be found here.

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