|
|
|
|
Document Preview Code of Ethics |
||||
|
|
||||
|
Click "Add to Cart" button to purchase document. |
||||
|
|
||||
|
Title: |
Code of Ethics |
|||
|
Entities: |
||||
|
Date: |
2006 |
|||
|
Size: |
Preview shows 5KB of 111KB total |
|||
|
Price: |
$51 |
|||
|
ID: |
#2332624 |
|||
|
|
||||
|
||||
|
|
||||
|
Start of Preview |
||||
NUVEEN INVESTMENTS
(INCLUDING CERTAIN SUBSIDIARIES OF
NUVEEN INVESTMENTS, INC.)
NUVEEN DEFINED PORTFOLIOS
NUVEEN CLOSED-END FUNDS
NUVEEN OPEN-END FUNDS
CODE OF ETHICS
AND
REPORTING REQUIREMENTS
February 1, 2005
As Amended Through April 10, 2006
26
{PAGE}
TABLE OF CONTENTS
{TABLE}
{CAPTION}
PAGE NO.
--------
{S} {C}
I. Introduction ........................................................... 4
II. General Principles ..................................................... 5
III. Standards of Business Conduct .......................................... 5
A. Fiduciary Standards ................................................. 5
B. Compliance with Laws and Company Policies ........................... 5
C. Conflicts of Interest ............................................... 6
D. Gifts and Entertainment ............................................. 6
E. Outside Directorships and Business Activities ....................... 7
F. Protection of Confidential Information .............................. 7
G. Payments to Government Officials and Political Contributions ........ 7
IV. Insider Trading ........................................................ 8
A. Insider Trading ..................................................... 8
B. Insider Status ...................................................... 8
C. Material Nonpublic Information ...................................... 8
D. Identifying Inside Information ...................................... 9
E. Reporting Suspected Inside Information .............................. 9
V. Personal Securities Transactions ....................................... 10
A. Trading Restrictions for All Employees .............................. 10
1. Stock of Nuveen Investments, Inc ................................. 10
2. Initial Public Offerings ......................................... 10
3. Limited Offerings ................................................ 10
B. Additional Trading Restrictions for Access Persons
(Including Investment Persons) ................................... 11
1. Securities on Pre-Clearance or Black-Out Lists ................... 11
2. Securities Being Purchased or Sold in Client Accounts ............ 11
C. Additional Trading Restrictions for Investment Persons .............. 11
1. Securities Eligible for Purchase or Sale by Client Accounts ...... 11
2. Securities Traded Within Seven Days Before a Client Transaction .. 11
D. Other Trading Restrictions .......................................... 12
1. Transactions in Certain Closed-End Funds ......................... 12
2. Non-Interested Directors of the Nuveen Funds ..................... 12
3. Frequent Trading in Shares of Certain Open-End Funds ............. 12
4. Excessive or Abusive Trading ..................................... 12
{/TABLE}
2
{PAGE}
TABLE OF CONTENTS (CONTINUED)
{TABLE}
{CAPTION}
PAGE NO.
--------
{S} {C}
E. Exceptions to Trading Restrictions .................................. 13
F. Reporting Requirements .............................................. 14
1. General Reporting Requirements ................................... 14
2. Initial Holdings Report .......................................... 14
|
End of Preview |
Home Intelligence Services Subscriptions News About Us