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Document Preview Code of Ethics |
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Title: |
Code of Ethics |
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Date: |
2007 |
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Preview shows 5KB of 70KB total |
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$45 |
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ID: |
#2896734 |
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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 February 25, 2007
{PAGE}
TABLE OF CONTENTS
{TABLE}
{CAPTION}
PAGE NO.
--------
{S} {C}
I. Introduction .................................................. 1
II. General Principles ............................................ 2
III. Standards of Business Conduct ................................. 2
A. Fiduciary Standards ...................................... 2
B. Compliance with Laws and Company Policies ................ 2
C. Conflicts of Interest .................................... 3
D. Gifts and Entertainment .................................. 3
E. Outside Directorships and Business Activities ............ 4
F. Protection of Confidential Information ................... 4
G. Payments to Government Officials and Political
Contributions ......................................... 5
IV. Insider Trading ............................................... 5
A. Insider Trading .......................................... 5
B. Insider Status ........................................... 5
C. Material Nonpublic Information ........................... 6
D. Identifying Inside Information ........................... 6
E. Reporting Suspected Inside Information ................... 6
V. Personal Securities Transactions .............................. 7
A. Trading Restrictions for All Employees/Access Person ..... 7
1. Stock of Nuveen Investments, Inc .................... 7
2. Initial Public Offerings ............................ 7
3. Limited Offerings ................................... 8
4. Other Securities .................................... 8
5. Securities Being Purchased or Sold In Client
Accounts ......................................... 8
B. Additional Trading Restrictions for Investment Persons ... 8
1. Securities Eligible for Purchase or Sale By Client .. 8
2. Securities Traded Within Seven Days Before A Client
Transaction ...................................... 8
C. Other Trading Restrictions ............................... 9
1. Transactions in Certain Closed-End Funds and Certain
Pooled Vehicles ..................................... 9
2. Non-Interested Directors of the Nuveen Funds ........ 9
{/TABLE}
{PAGE}
{TABLE}
{CAPTION}
PAGE NO.
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{S} {C}
3. Frequent Trading in Shares of Certain Open-End
Funds ............................................ 10
4. Excessive or Abusive Trading ........................ 10
D. PTA System and Employee/Access Person Trade Monitoring
1. PTA ................................................. 10
2. Employee/Access Person Accounts ..................... 11
3. Accounts That May be Maintained at Non- PTA
Compatible Broker-Dealers ........................ 11
E. Reporting Requirements ................................... 12
1. General Reporting Requirements ...................... 12
2. Initial Holdings Report ............................. 12
3. Annual Holdings Report .............................. 12
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