This Day On The Street
Continue to site right-arrow
ADVERTISEMENT
This account is pending registration confirmation. Please click on the link within the confirmation email previously sent you to complete registration.
Need a new registration confirmation email? Click here
TheStreet Open House

Guggenheim Investments Announces Appointment Of Interim Chief Compliance Officer For Certain Closed-End And Exchange-Traded Funds

The exchange-traded funds and certain closed-end funds advised or serviced by Guggenheim Funds Investments Advisors, LLC or Guggenheim Funds Distributors, LLC (together the “Funds”) announced today the appointment by each Fund’s Board of Trustees of Ms. Joanna Catalucci as the Interim Chief Compliance Officer of each Fund.

Ms. Catalucci is a Managing Director of Compliance and Fund Board Relations within Guggenheim Partners. In this role, she leads the strategic direction of the comprehensive compliance program for Guggenheim Investments focusing on compliance requirements of the investment advisors, products and distribution. In addition, Ms. Catalucci assists in the facilitation of consistency and overall relationship management of the multiple fund boards. Before joining Guggenheim, she served as senior vice president and chief compliance officer of Rydex|SGI for 12 years. In this role, Ms. Catalucci oversaw the compliance programs for Rydex|SGI’s investment advisor, mutual funds and ETFs, as well as institutional accounts. Ms. Catalucci also oversaw the execution and monitoring of Rydex|SGI’s code of ethics and coordinated all aspects of various regulatory exams. In addition, she led the Risk Committee for Rydex|SGI. Before joining Rydex|SGI in 2000, Ms. Catalucci served as vice president of fund administration for Chase Global Fund Services Co., where she was responsible for compliance for the Morgan Stanley Dean Witter group of funds. Before that, she served as an audit supervisor at PricewaterhouseCoopers, LLP. Ms. Catalucci holds a B.S. degree in accounting from Merrimack College in Andover, MA. She also holds a Financial Industry Regulatory Authority (“FINRA”) Series 7 license.

The Funds for which this change is applicable include all exchange-traded funds in the Claymore Exchange-Traded Fund Trust and Claymore Exchange-Traded Fund Trust 2 and the following closed-end funds advised or serviced by Guggenheim Funds Investment Advisors, LLC or Guggenheim Funds Distributors, LLC:

 
FMO Fiduciary/Claymore MLP Opportunity Fund
GBAB Guggenheim Build America Bonds Managed Duration Trust
GEQ Guggenheim Equal Weight Enhanced Equity Income Fund
GGE Guggenheim Enhanced Equity Strategy Fund
GOF Guggenheim Strategic Opportunities Fund
GPM Guggenheim Enhanced Equity Income Fund
MCN Madison/Claymore Covered Call & Equity Strategy Fund
MZF Managed Duration Investment Grade Municipal Fund
 

About Guggenheim Investments

Guggenheim Investments represents the investment management division of Guggenheim Partners (“Guggenheim”), which consists of investment managers with approximately $130 billion in combined total assets*. Guggenheim Investments is comprised of several investment management entities within Guggenheim. Collectively, Guggenheim Investments has a long, distinguished history of serving institutional investors, ultra-high-net-worth individuals, family offices and financial intermediaries. Guggenheim Investments offers clients a wide range of differentiated capabilities built on a proven commitment to investment excellence. Guggenheim Investments has offices in Chicago, New York City and Santa Monica, along with a global network of offices throughout the United States, Europe, and Asia.

1 of 3

Check Out Our Best Services for Investors

Action Alerts PLUS

Portfolio Manager Jim Cramer and Director of Research Jack Mohr reveal their investment tactics while giving advanced notice before every trade.

Product Features:
  • $2.5+ million portfolio
  • Large-cap and dividend focus
  • Intraday trade alerts from Cramer
Quant Ratings

Access the tool that DOMINATES the Russell 2000 and the S&P 500.

Product Features:
  • Buy, hold, or sell recommendations for over 4,300 stocks
  • Unlimited research reports on your favorite stocks
  • A custom stock screener
Stocks Under $10

David Peltier uncovers low dollar stocks with serious upside potential that are flying under Wall Street's radar.

Product Features:
  • Model portfolio
  • Stocks trading below $10
  • Intraday trade alerts
14-Days Free
Try it NOW
Only $9.95
Try it NOW
14-Days Free
Try it NOW

Check Out Our Best Services for Investors

Dividend Stock Advisor

David Peltier identifies the best of breed dividend stocks that will pay a reliable AND significant income stream.

Product Features:
  • Diversified model portfolio of dividend stocks
  • Updates with exact steps to take - BUY, HOLD, SELL
Trifecta Stocks

Every recommendation goes through 3 layers of intense scrutiny—quantitative, fundamental and technical analysis—to maximize profit potential and minimize risk.

Product Features:
  • Model Portfolio
  • Intra Day Trade alerts
  • Access to Quant Ratings
Options Profits

Our options trading pros provide over 100 monthly option trading ideas and strategies to help you become a well-seasoned trader.

Product Features:
  • Actionable options commentary and news
  • Real-time trading community
Try it NOW
Try it NOW
Try it NOW
To begin commenting right away, you can log in below using your Disqus, Facebook, Twitter, OpenID or Yahoo login credentials. Alternatively, you can post a comment as a "guest" just by entering an email address. Your use of the commenting tool is subject to multiple terms of service/use and privacy policies - see here for more details.
Submit an article to us!
SYM TRADE IT LAST %CHG

Markets

DOW 17,712.66 +34.43 0.19%
S&P 500 2,061.02 +4.87 0.24%
NASDAQ 4,891.2190 +27.8570 0.57%

Partners Compare Online Brokers

Free Reports

Free Newsletters from TheStreet

My Subscriptions:

After the Bell

Before the Bell

Booyah! Newsletter

Midday Bell

TheStreet Top 10 Stories

Winners & Losers

Register for Newsletters
Top Rated Stocks Top Rated Funds Top Rated ETFs