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

OMB 3235-0224

Rule 17j-1 requires investment companies and their investment advisers and principal underwriters to establish codes of ethics to prevent affiliated persons from engaging in fraudulent practices and requires these persons to file reports with their employers with respect to their personal securities transactions.

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 2022-07-31 and can be found here.

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