SEC Company Response from RIVERNORTH OPPORTUNITIES FUND, INC. (RIV, RIV-PA) (CIK 0001501072) (RIV) — Dec 21, 2015
RIVERNORTH OPPORTUNITIES FUND, INC. (RIV, RIV-PA) (CIK 0001501072)
Date: Dec. 21, 2015 · CIK: 0001501072 · Accession: 0001398344-15-008365
AI Filing Summary & Sentiment
File numbers found in text: 333-169317, 811-22472
Letter
VIA EDGAR Division of Investment Management Securities and Exchange Commission Washington, D.C. 20549-0504 Re: RiverNorth Opportunities Fund, Inc. Registration Statement on Form N-2 File Nos. 333-169317; 811-22472
Dear Mr. Minore:
Pursuant to Rule 461 under the Securities Act of 1933, as amended, RiverNorth Opportunities Fund, Inc. (“Registrant”) hereby requests that the effective date of the above-referenced Registration Statement on Form N-2 be accelerated so that the Registration Statement may become effective at 10:00 am, Eastern Time, on December 23, 2015, or as soon as practicable thereafter.
In connection with this request, the Registrant hereby acknowledges that (i) should the U.S. Securities and Exchange Commission (“Commission”) or its staff, acting pursuant to delegated authority, declare the Registration Statement effective, such action will not foreclose the Commission from taking any action with respect to the Registration Statement; (ii) the action of the Commission or its staff, acting pursuant to delegated authority, in declaring the Registration Statement effective, will not relieve the Registrant from its full responsibility for the adequacy and accuracy of the disclosure in the Registration Statement; and (iii) the Registrant may not assert such action as a defense in any proceeding initiated by the Commission under the federal securities laws of the United States.
The Registrant requests that notification of such effectiveness be made by telephone call to Allison M. Fumai of Dechert LLP, legal counsel to the Registrant, at 212.698.3526.
Very truly yours,
RIVERNORTH OPPORTUNITIES FUND, INC.
By: /s/ Thomas A. Carter
Name: Thomas A. Carter
Title: President
Wells Fargo Securities, LLC
375 Park Avenue
New York, NY 10152
VIA EDGAR
December 21, 2015
Securities and Exchange Commission
Division of Investment Management
100 F Street N.E.
Washington, D.C. 20549-0504
Attn: Mr. Dominic Minore
Re: RiverNorth Opportunities Fund, Inc. (the “Fund”)
(File Nos. 333-169317 and 811-22472)
Dear Mr. Minore:
Pursuant to Rule 460 of the General Rules and Regulations under the Securities Act of 1933, as amended, we, on behalf of the several underwriters, wish to advise you that distribution of the Registration Statement on Form N-2 as filed on December 2, 2015 and the Preliminary Prospectus dated December 2, 2015 began on December 2, 2015 and is expected to conclude at approximately 10:00 a.m., Eastern Time, on December 23, 2015, with anticipated distribution results as follows: a limited number of Registration Statements have or will be sent to underwriters and approximately 50,000 copies of the Preliminary Prospectus have or will be sent to underwriters, dealers and institutions.
Pursuant to Rule 461 of the General Rules and Regulations under the Securities Act of 1933, as amended, the undersigned, on behalf of the underwriters of the offering of common shares of beneficial interest of the Fund, hereby joins in the request of the Fund for acceleration of the effective date of the above-named Registration Statement so that it becomes effective at 10:00 a.m. (ET) on Wednesday, December 23, 2015, or as soon thereafter as practicable.
Page 2
Sincerely,
WELLS FARGO SECURITIES, LLC
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CORRESP 1 filename1.htm RIVERNORTH OPPORTUNITIES FUND, INC. 1290 Broadway, Suite 1100 Denver, Colorado 80203 VIA EDGAR December 21, 2015 Dominic Minore Senior Counsel Division of Investment Management Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549-0504 Re: RiverNorth Opportunities Fund, Inc. Registration Statement on Form N-2 File Nos. 333-169317; 811-22472 Dear Mr. Minore: Pursuant to Rule 461 under the Securities Act of 1933, as amended, RiverNorth Opportunities Fund, Inc. (“Registrant”) hereby requests that the effective date of the above-referenced Registration Statement on Form N-2 be accelerated so that the Registration Statement may become effective at 10:00 am, Eastern Time, on December 23, 2015, or as soon as practicable thereafter. In connection with this request, the Registrant hereby acknowledges that (i) should the U.S. Securities and Exchange Commission (“Commission”) or its staff, acting pursuant to delegated authority, declare the Registration Statement effective, such action will not foreclose the Commission from taking any action with respect to the Registration Statement; (ii) the action of the Commission or its staff, acting pursuant to delegated authority, in declaring the Registration Statement effective, will not relieve the Registrant from its full responsibility for the adequacy and accuracy of the disclosure in the Registration Statement; and (iii) the Registrant may not assert such action as a defense in any proceeding initiated by the Commission under the federal securities laws of the United States. The Registrant requests that notification of such effectiveness be made by telephone call to Allison M. Fumai of Dechert LLP, legal counsel to the Registrant, at 212.698.3526. Very truly yours, RIVERNORTH OPPORTUNITIES FUND, INC. By: /s/ Thomas A. Carter Name: Thomas A. Carter Title: President Wells Fargo Securities, LLC 375 Park Avenue New York, NY 10152 VIA EDGAR December 21, 2015 Securities and Exchange Commission Division of Investment Management 100 F Street N.E. Washington, D.C. 20549-0504 Attn: Mr. Dominic Minore Re: RiverNorth Opportunities Fund, Inc. (the “Fund”) (File Nos. 333-169317 and 811-22472) Dear Mr. Minore: Pursuant to Rule 460 of the General Rules and Regulations under the Securities Act of 1933, as amended, we, on behalf of the several underwriters, wish to advise you that distribution of the Registration Statement on Form N-2 as filed on December 2, 2015 and the Preliminary Prospectus dated December 2, 2015 began on December 2, 2015 and is expected to conclude at approximately 10:00 a.m., Eastern Time, on December 23, 2015, with anticipated distribution results as follows: a limited number of Registration Statements have or will be sent to underwriters and approximately 50,000 copies of the Preliminary Prospectus have or will be sent to underwriters, dealers and institutions. Pursuant to Rule 461 of the General Rules and Regulations under the Securities Act of 1933, as amended, the undersigned, on behalf of the underwriters of the offering of common shares of beneficial interest of the Fund, hereby joins in the request of the Fund for acceleration of the effective date of the above-named Registration Statement so that it becomes effective at 10:00 a.m. (ET) on Wednesday, December 23, 2015, or as soon thereafter as practicable. Page 2 Sincerely, WELLS FARGO SECURITIES, LLC As Representative By: WELLS FARGO SECURITIES, LLC By: /s/ Jerry Raio Name: Jerry Raio Title: Managing Director