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| LEI | 549300EQ34T51CUS5O36 |
| CIK | 1392994 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to First Trust Specialty Finance and Financial Opportunities Fund
SEC Filings (Chronological Order)
이 페이지는 다른 곳에서 제공하는 소유권 보고서를 제외한 SEC 보고서의 전체 리스트를 시간 순으로 정리한 것입니다.
| September 25, 2025 |
UNITED STATES OF AMERICA BEFORE THE SECURITIES AND EXCHANGE COMMISSION INVESTMENT COMPANY ACT OF 1940 Release No. |
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| September 3, 2025 |
SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No. 35732] Deregistration under Section 8(f) of the Investment Company Act of 1940 August 29, 2025. AGENCY: Securities and Exchange Commission (“Commission” or “SEC”) ACTION: Notice of Applications for Deregistration under Section 8(f) of the Investment Company Act of 1940. The following is a notice of applications for deregistrati |
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| August 4, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8F Application for Deregistration of Certain Registered Investment Companies. I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descriptions, see Instruction 1 above): ☒ Merger ☐ Liquidation ☐ Abandonment of Registration (Note: Abandonments of Registration answer only quest |
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| June 30, 2025 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Announces Completion of First Trust Specialty Finance and Financial Opportunities Fund Reorganization into FT Confluence BDC & Specialty Finance Income ETF Wheaton, IL – (BUSINESS WIRE) – June 30, 2025 – First Trust Advisors L.P. (“FTA”) announced today that the reorganization of First Trust Specialty Finance and Financial Opportunities F |
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| June 30, 2025 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on July 11, 2025, pursuant to the provisions of Rule 12d2-2 (a). |
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| June 30, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 30, 2025 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in its charter) Massachusetts 811-22039 06-1810845 (State or other |
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| June 6, 2025 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Announces Expected Effective Date of First Trust Specialty Finance and Financial Opportunities Fund Reorganization into FT Confluence BDC & Specialty Finance Income ETF Wheaton, IL – (BUSINESS WIRE) – June 6, 2025 – First Trust Advisors L.P. (“FTA”) announced today that, subject to the satisfaction of certain customary closing conditions, |
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| June 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 6, 2025 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in its charter) Massachusetts 811-22039 06-1810845 (State or other j |
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| May 6, 2025 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Announces Results of Special Meeting of Shareholders Relating to the Reorganization of First Trust Specialty Finance and Financial Opportunities Fund with and into FT Confluence BDC & Specialty Finance Income ETF WHEATON, IL – (BUSINESS WIRE) – May 5, 2025 – First Trust Advisors L.P. (“FTA”) announced today the results of the special meet |
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| May 6, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2025 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in its charter) Massachusetts 811-22039 06-1810845 (State or other ju |
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| April 21, 2025 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Announces Adjournment of Special Meeting of Shareholders Relating to the Reorganization of First Trust Specialty Finance and Financial Opportunities Fund with and into FT Confluence BDC & Specialty Finance Income ETF WHEATON, IL – (BUSINESS WIRE) – April 21, 2025 – First Trust Advisors L.P. (“FTA”) announced today that the special meeting |
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| April 21, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 21, 2025 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in its charter) Massachusetts 811-22039 06-1810845 (State or other |
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| March 5, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 5, 2025 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in its charter) Massachusetts 811-22039 06-1810845 (State or other |
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| March 5, 2025 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Specialty Finance and Financial Opportunities Fund Announces Mailing of Proxy Materials for Special Meeting of Shareholders WHEATON, IL – (BUSINESS WIRE) – March 5, 2025 – First Trust Advisors L.P. (“FTA”) announced today that proxy materials for the proposed reorganization of First Trust Specialty Finance and Financial Opportunities Fund |
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| February 28, 2025 |
As filed with the Securities and Exchange Commission on February 28, 2025 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 3, 2025 |
EXHIBIT A Joint Filing Agreement The undersigned agree that the statement on this Schedule 13G with respect to the common stock of First Trust Specialty Finance and Financial Opportunities Fund is, and any amendments thereto (including amendments on Schedule 13D) signed by each of the undersigned shall be, filed on behalf of each of them pursuant to and in accordance with the provisions of Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended IN WITNESS WHEREOF, this Agreement has been duly executed by the parties hereto as of the date first written above. |
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| November 6, 2024 |
SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b),(c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (Amendment No. 2)* First Trust Specialty Finance & Financial Opportunities Fund (Name of Issuer) Common Shares (Title of Class of Securities) 33733G109 ( |
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| October 15, 2024 |
SC 13D/A 1 formsc13da.htm FORM SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 33733G109 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Ave |
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| October 3, 2024 |
As filed with the Securities and Exchange Commission on October 3, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 1, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No.3)* FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 33733G109 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attenti |
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| September 23, 2024 |
SC 13D/A 1 formsc13da.htm FORM SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 33733G109 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Ave |
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| September 10, 2024 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. Board of First Trust Specialty Finance and Financial Opportunities Fund Approves Conversion into an ETF and sets date of Annual Shareholder Meeting WHEATON, IL – (BUSINESS WIRE) – September 10, 2024 – First Trust Advisors L.P. (“FTA”) announced today that the Board of Trustees of First Trust Specialty Finance and Financial Opportunities Fund (NYSE: F |
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| September 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 10, 2024 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in its charter) Massachusetts 811-22039 06-1810845 (State or o |
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| August 29, 2024 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Specialty Finance and Financial Opportunities Fund Announces Results of Special Meeting of Shareholders Relating to the Proposed Reorganization with and into abrdn Total Dynamic Dividend Fund WHEATON, IL – (BUSINESS WIRE) – August 29, 2024 – First Trust Specialty Finance and Financial Opportunities Fund (NYSE: FGB) (the “Fund”), a diversi |
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| August 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 29, 2024 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in its charter) Massachusetts 811-22039 06-1810845 (State or othe |
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| August 23, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 23, 2024 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in its charter) Massachusetts 811-22039 06-1810845 (State or othe |
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| August 23, 2024 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Announces Adjournment of Special Meeting of Shareholders Relating to the Reorganization of First Trust Specialty Finance and Financial Opportunities Fund with and into abrdn Total Dynamic Dividend Fund WHEATON, IL – (BUSINESS WIRE) – August 23, 2024 – First Trust Advisors L.P. (“FTA”) announced today that the special meeting of shareholde |
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| July 25, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 25, 2024 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in its charter) Massachusetts 811-22039 06-1810845 (State or other |
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| July 25, 2024 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Announces Adjournment of Special Meeting of Shareholders Relating to the Reorganization of First Trust Specialty Finance and Financial Opportunities Fund with and into abrdn Total Dynamic Dividend Fund WHEATON, IL – (BUSINESS WIRE) – July 25, 2024 – First Trust Advisors L.P. (“FTA”) announced today that the special meeting of shareholders |
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| July 11, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 11, 2024 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in its charter) Massachusetts 811-22039 06-1810845 (State or other |
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| July 11, 2024 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Announces Adjournment of Special Meeting of Shareholders Relating to the Reorganization of First Trust Specialty Finance and Financial Opportunities Fund with and into abrdn Total Dynamic Dividend Fund WHEATON, IL – (BUSINESS WIRE) – July 11, 2024 – First Trust Advisors L.P. (“FTA”) announced today that the special meeting of shareholders |
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| June 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 18, 2024 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in its charter) Massachusetts 811-22039 06-1810845 (State or other |
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| June 18, 2024 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Announces Adjournment of Special Meeting of Shareholders Relating to the Reorganization of First Trust Specialty Finance and Financial Opportunities Fund with and into abrdn Total Dynamic Dividend Fund WHEATON, IL – (BUSINESS WIRE) – June 18, 2024 – First Trust Advisors L.P. (“FTA”) announced today that the special meeting of shareholders |
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| May 31, 2024 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Announces Adjournment of Special Meeting of Shareholders Relating to the Reorganization of First Trust Specialty Finance and Financial Opportunities Fund with and into abrdn Total Dynamic Dividend Fund WHEATON, IL – (BUSINESS WIRE) – May 31, 2024 – First Trust Advisors L.P. (“FTA”) announced today that the special meeting of shareholders |
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| May 31, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 31, 2024 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in its charter) Massachusetts 811-22039 06-1810845 (State or other j |
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| May 14, 2024 |
SC 13D/A 1 formsc13da.htm FORM SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No.1)* FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 33733G109 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Aven |
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| May 2, 2024 |
As filed with the Securities and Exchange Commission on May 2, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 29, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 33733G109 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention |
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| April 29, 2024 |
JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) EXHIBIT 1 JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) The undersigned acknowledge and agree that the foregoing statement on Schedule 13D is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13D shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. |
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| April 25, 2024 |
As filed with the Securities and Exchange Commission on April 24, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 18, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 18, 2024 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in its charter) Massachusetts 811-22039 06-1810845 (State or other |
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| April 18, 2024 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Announces Adjournment of Special Meeting of Shareholders Relating to the Reorganization of First Trust Specialty Finance and Financial Opportunities Fund with and into abrdn Total Dynamic Dividend Fund WHEATON, IL – (BUSINESS WIRE) – April 18, 2024 – First Trust Advisors L.P. (“FTA”) announced today that the special meeting of shareholder |
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| April 8, 2024 |
As filed with the Securities and Exchange Commission on April 8, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| April 1, 2024 |
As filed with the Securities and Exchange Commission on April 1, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 22, 2024 |
As filed with the Securities and Exchange Commission on March 22, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 14, 2024 |
As filed with the Securities and Exchange Commission on March 14, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 7, 2024 |
As filed with the Securities and Exchange Commission on March 7, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| March 7, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 7, 2024 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in its charter) Massachusetts 811-22039 06-1810845 (State or other |
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| March 7, 2024 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Announces Adjournment of Special Meeting of Shareholders Relating to the Reorganization of First Trust Specialty Finance and Financial Opportunities Fund with and into abrdn Total Dynamic Dividend Fund WHEATON, IL – (BUSINESS WIRE) – March 7, 2024 – First Trust Advisors L.P. (“FTA”) announced today that the special meeting of shareholders |
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| March 1, 2024 |
As filed with the Securities and Exchange Commission on March 1, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 23, 2024 |
As filed with the Securities and Exchange Commission on February 23, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 21, 2024 |
As filed with the Securities and Exchange Commission on February 21, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 20, 2024 |
As filed with the Securities and Exchange Commission on February 20, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 9, 2024 |
SC 13G/A 1 d775605dsc13ga.htm SC 13G/A CUSIP No. 33733G109 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b),(c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (Amendment No. 1)* First Trust Specialty Finance & Financial Opportunities Fund (Name of Issuer) Common |
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| February 9, 2024 |
As filed with the Securities and Exchange Commission on February 9, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 2, 2024 |
As filed with the Securities and Exchange Commission on February 2, 2024 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| January 26, 2024 |
First Trust Specialty Finance and Financial Opportunities Fund First Trust Specialty Finance and Financial Opportunities Fund January 26, 2024 Dear Shareholder: I am writing to ask you to vote on an important proposal for First Trust Specialty Finance and Financial Opportunities Fund (the “Fund”) to consider the proposed reorganization of the Fund with and into abrdn Total Dynamic Dividend Fund (the “Reorganization”). |
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| January 12, 2024 |
SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ¨ Filed by a Party other than the Registrant þ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Definitive Proxy Statement ¨ Definitive Additional Materials ¨ Soliciting Material Under Rule 14a-12 First Trust Specialty Finance and Financial Opportunities Fund (Name of Registrant as Specified In Its Charter) Saba Capital Management, L. |
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| January 12, 2024 |
First Trust Shareholder Services Shareholder Name Address 1 Address 2 Address 3 Important Notice Re: First Trust Specialty Finance and Financial Opportunities Fund Dear Shareholder: We have tried unsuccessfully to contact you, whether by mail or by phone, regarding a very important matter concerning your investment with First Trust Specialty Finance and Financial Opportunities Fund. |
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| January 9, 2024 |
internal use only January 8, 2024 Client Talking Points First Trust Specialty Finance and Financial Opportunities Fund First Trust Advisors L. |
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| November 27, 2023 |
SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| November 16, 2023 |
SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ¨ Filed by a Party other than the Registrant þ Check the appropriate box: þ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ¨ Definitive Proxy Statement ¨ Definitive Additional Materials ¨ Soliciting Material Under Rule 14a-12 First Trust Specialty Finance and Financial Opportunities Fund (Name of Registrant as Specified In Its Charter) Saba Capital Management, L. |
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| October 24, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 23, 2023 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in its charter) Massachusetts 811-22039 06-1810845 (State or oth |
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| October 24, 2023 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Advisors Announces Proposed Reorganization of Four First Trust Advised Closed-End Funds into Three abrdn Advised Closed-End Funds WHEATON, IL – (BUSINESS WIRE) – October 23, 2023 – First Trust Advisors L.P. (“FTA”) announced today that the Board of Trustees of each of the Acquired Funds, listed below, approved the proposed reorganization |
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| October 24, 2023 |
Filed by abrdn Global Infrastructure Income Fund abrdn Income Credit Strategies Fund abrdn Total Dynamic Dividend Fund pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) Subject Companies: Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund File No. |
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| October 24, 2023 |
abrdn enters agreement to acquire the assets of four closed-end funds from First Trust Advisors L.P. Filed by abrdn Global Infrastructure Income Fund abrdn Income Credit Strategies Fund abrdn Total Dynamic Dividend Fund pursuant to Rule 425 under the Securities Act of 1933, as amended, and deemed filed pursuant to Rule 14a-12 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”) Subject Companies: Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund File No. |
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| September 12, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 11, 2023 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in its charter) Massachusetts 811-22039 06-1810845 (State or o |
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| September 12, 2023 |
SOURCE: First Trust Advisors L.P. PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Announces Appointment of New Trustee for Funds WHEATON, IL – (BUSINESS WIRE) – September 11, 2023 – The exchange-traded funds, closed-end funds, mutual funds and variable insurance funds (collectively, the “Funds”) advised by First Trust Advisors L.P. (“FTA”) announced the appointment of Ms. Bronwyn Wright as a Trustee of certain of the F |
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| June 23, 2023 |
First Trust Closed-End Funds Announce Board’s Decision to Rescind the Funds’ Control Share By-Law PRESS RELEASE First Trust Closed-End Funds Announce Board’s Decision to Rescind the Funds’ Control Share By-Law Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund (NYSE: MFD) First Trust Senior Floating Rate Income Fund II (NYSE: FCT) First Trust Energy Income and Growth Fund (NYSE American: FEN) First Trust Enhanced Equity Income Fund (NYSE: FFA) First Trust/abrdn Global |
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| June 23, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 22, 2023 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in its charter) Massachusetts 811-22039 06-1810845 (State or other |
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| June 23, 2023 |
By-Laws of Each Trust Listed on Schedule A Hereto (each, a “Trust”) Article I As Amended and Restated on June 22, 2023 By-Laws of Each Trust Listed on Schedule A Hereto (each, a “Trust”) Article I Definitions Any capitalized terms not defined herein shall have the respective meanings given them in the Declaration of Trust of the Trust as the same may be in effect from time to time. |
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| March 8, 2023 |
As filed with the Securities and Exchange Commission on March 8, 2023 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 3, 2023 |
SC 13G 1 d378442dsc13g.htm SC 13G CUSIP No. 33733G109 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b),(c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (Amendment No. )* First Trust Specialty Finance & Financial Opportunities Fund (Name of Issuer) Common Share |
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| November 2, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 fgb8k.htm CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) November 2, 2022 First Trust Specialty Finance and Financial Opportunities Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811- |
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| November 2, 2022 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Advisors L.P. Announces Portfolio Manager Update for First Trust Specialty Finance and Financial Opportunities Fund WHEATON, IL ? (BUSINESS WIRE) ? November 2, 2022 ? First Trust Advisors L.P. ("FTA") announced today that Confluence Investment Management LLC ("Confluence"), investment sub-advisor for the First Trust Specialty Finance and |
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| October 28, 2022 |
First Trust Specialty Finance and Financial Opportunities Fund (FGB) NPORT-EX 2 FT28FT103122.htm First Trust Specialty Finance and Financial Opportunities Fund (FGB) Portfolio of Investments August 31, 2022 (Unaudited) Shares Description Value COMMON STOCKS – BUSINESS DEVELOPMENT COMPANIES - 105.6% Capital Markets – 105.6% 250,000 Ares Capital Corp. (a) $4,910,000 390,000 Barings BDC, Inc. (a) 3,888,300 332,000 BlackRock TCP Capital Corp. (a) 4,501,920 89,500 Black |
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| April 27, 2022 |
First Trust Specialty Finance and Financial Opportunities Fund (FGB) First Trust Specialty Finance and Financial Opportunities Fund (FGB) Portfolio of Investments February 28, 2022 (Unaudited) Shares Description Value COMMON STOCKS – BUSINESS DEVELOPMENT COMPANIES - 105. |
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| March 10, 2022 |
DEF 14A 1 definproxy.htm DEFINITIVE PROXY STATEMENT As filed with the Securities and Exchange Commission on March 10, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the R |
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| November 8, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) November 8, 2021 First Trust Specialty Finance and Financial Opportunities Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-22039 06-1810845 (State or Othe |
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| November 8, 2021 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Advisors L.P. Announces Portfolio Manager Update for First Trust Specialty Finance and Financial Opportunities Fund WHEATON, IL ? (BUSINESS WIRE) ? November 8, 2021 ? First Trust Advisors L.P. ("FTA") announced today that Confluence Investment Management LLC ("Confluence"), investment sub-advisor for First Trust Specialty Finance (NYSE: F |
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| October 26, 2021 |
First Trust Specialty Finance and Financial Opportunities Fund (FGB) First Trust Specialty Finance and Financial Opportunities Fund (FGB) Portfolio of Investments August 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS – BUSINESS DEVELOPMENT COMPANIES - 101. |
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| October 21, 2021 |
SOURCE: First Trust Advisors L.P. PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Announces Appointment of New Trustee for Funds WHEATON, IL ? (BUSINESS WIRE) ? October 20, 2021 ? The exchange traded funds, closed-end funds, mutual funds and variable insurance funds (collectively, the ?Funds?) advised by First Trust Advisors L.P. (?FTA?) announced the appointment of Denise M. Keefe as a Trustee of each of the Funds, ef |
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| October 21, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) October 20, 2021 First Trust Specialty Finance and Financial Opportunities Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-22039 06-1810845 (State or Othe |
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| April 26, 2021 |
First Trust Specialty Finance and Financial Opportunities Fund (FGB) First Trust Specialty Finance and Financial Opportunities Fund (FGB) Portfolio of Investments February 28, 2021 (Unaudited) Shares Description Value COMMON STOCKS – BUSINESS DEVELOPMENT COMPANIES - 105. |
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| March 18, 2021 |
As filed with the Securities and Exchange Commission on March 18, 2021. =============================================================================== U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant [X] Filed by a party other than the Registrant [ ] |
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| October 27, 2020 |
First Trust Specialty Finance and Financial Opportunities Fund (FGB) First Trust Specialty Finance and Financial Opportunities Fund (FGB) Portfolio of Investments August 31, 2020 (Unaudited) Shares Description Value COMMON STOCKS?? BUSINESS DEVELOPMENT COMPANIES - 96. |
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| October 20, 2020 |
By-Laws of Each Trust Listed on Schedule A Hereto (each, a “Trust”) Article I As Amended and Restated on October 19, 2020 By-Laws of Each Trust Listed on Schedule A Hereto (each, a “Trust”) Article I Definitions Any capitalized terms not defined herein shall have the respective meanings given them in the Declaration of Trust of the Trust as the same may be in effect from time to time. |
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| October 20, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 20, 2020 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in its charter) Massachusetts 811-22039 06-1810845 (State or oth |
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| October 9, 2020 |
111 West Monroe Street Chicago, Illinois 60603-4080 T 312.845.3000 F 312.701.2361 www.chapman.com October 9, 2020 VIA EDGAR CORRESPONDENCE United States Securities and Exchange Commission 100 F Street, N.E. Washington, D.C. 20549 Re: Filings for First Trust Funds listed in Exhibit A attached hereto Ladies and Gentlemen: This letter responds to comments, provided by Ken Ellington and Christina DiAn |
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| August 11, 2020 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Advisors L.P. Announces Portfolio Manager Update for First Trust Specialty Finance and Financial Opportunities Fund WHEATON, IL — (BUSINESS WIRE) — August 7, 2020 — First Trust Advisors L.P. (“FTA”) announced today that Confluence Investment Management, LLC (“Confluence”), investment sub-advisor for First Trust Specialty Finance and Finan |
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| August 11, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) August 11, 2020 First Trust Specialty Finance and Financial Opportunities Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-22039 06-181 |
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| August 10, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits - CURRENT REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) August 7, 2020 First Trust Specialty Finance and Financial Opportunities Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-22039 06-1810845 (State or Other |
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| August 10, 2020 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Advisors L.P. Announces Portfolio Manager Update for First Trust Specialty Finance and Financial Opportunities Fund WHEATON, IL — (BUSINESS WIRE) — August 7, 2020 — First Trust Advisors L.P. (“FTA”) announced today that Confluence Investment Management, LLC (“Confluence”), investment sub-advisor for First Trust Specialty Finance and Finan |
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| May 29, 2020 |
By-Laws of Each Trust Listed on Schedule A Hereto (each, a “Trust”) Article I As Amended and Restated on May 28, 2020 By-Laws of Each Trust Listed on Schedule A Hereto (each, a “Trust”) Article I Definitions Any capitalized terms not defined herein shall have the respective meanings given them in the Declaration of Trust of the Trust as the same may be in effect from time to time. |
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| May 29, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 28, 2020 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in its charter) Massachusetts 811-22039 06-1810845 (State or other j |
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| April 27, 2020 |
First Trust Specialty Finance and Financial Opportunities Fund (FGB) First Trust Specialty Finance and Financial Opportunities Fund (FGB) Portfolio of Investments February 29, 2020 (Unaudited) Shares Description Value COMMON STOCKS – BUSINESS DEVELOPMENT COMPANIES - 116. |
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| April 16, 2020 |
As filed with the Securities and Exchange Commission on April 16, 2020. =============================================================================== U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant [X] Filed by a party other than the Registrant [ ] |
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| March 11, 2020 |
As filed with the Securities and Exchange Commission on March 11, 2020. =============================================================================== U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant [X] Filed by a party other than the Registrant [ ] |
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| October 28, 2019 |
FGB / First Trust/Gallatin Specialtity Finance and Financial Opportunities Fund NPORT-EX - - First Trust Specialty Finance and Financial Opportunities Fund (FGB) Portfolio of Investments August 31, 2019 (Unaudited) Shares Description Value COMMON STOCKS – BUSINESS DEVELOPMENT COMPANIES - 115. |
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| April 17, 2019 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James M. |
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| April 17, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 (Address of principal e |
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| March 4, 2019 |
As filed with the Securities and Exchange Commission on March 4, 2019. =============================================================================== U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant [X] Filed by a party other than the Registrant [ ] |
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| February 22, 2019 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. FIRST TRUST ADVISORS L.P. ANNOUNCES PORTFOLIO MANAGER UPDATE FOR FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND WHEATON, IL - (BUSINESS WIRE) - February 22, 2019 - First Trust Advisors L.P. ("FTA") announced today that Confluence Investment Management, LLC ("Confluence"), investment sub-advisor for First Trust Specialty Finance and Fi |
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| February 22, 2019 |
Regulation FD Disclosure, Financial Statements and Exhibits - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) February 22, 2019 First Trust Specialty Finance and Financial Opportunities Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-22039 06-1810845 (State or |
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| November 6, 2018 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. FIRST TRUST ADVISORS L.P. ANNOUNCES PORTFOLIO MANAGER UPDATE FOR FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND WHEATON, IL - (BUSINESS WIRE) - November 6, 2018 - First Trust Advisors L.P. ("FTA") announced today that Confluence Investment Management, LLC ("Confluence"), investment sub-advisor for First Trust Specialty Finance and Fin |
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| November 6, 2018 |
Regulation FD Disclosure, Financial Statements and Exhibits - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) November 6, 2018 First Trust Specialty Finance and Financial Opportunities Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-22039 06-1810845 (State or |
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| October 25, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James M. |
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| October 25, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 (Address of principal e |
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| April 19, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 (Address of principal e |
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| April 19, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James M. |
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| March 12, 2018 |
As filed with the Securities and Exchange Commission on March 12, 2018. =============================================================================== U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant [X] Filed by a party other than the Registrant [ ] |
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| February 6, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* First Trust Specialty Finance and Financial Opportunities Fund (Name of Issuer) Closed-End Fund (Title of Class of Securities) 33733G109 (CUSIP Number) 11/21/2017 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designa |
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| October 19, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 - First Trust Specialty Finance and Financial Opportunities - Fund (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 - (Address of princ |
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| October 19, 2017 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, James M. |
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| September 11, 2017 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. FIRST TRUST ADVISORS L.P. ANNOUNCES PORTFOLIO MANAGER UPDATE FOR FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND WHEATON, IL - (BUSINESS WIRE) - September 11, 2017 - First Trust Advisors L.P. ("FTA") announced today that Confluence Investment Management, LLC ("Confluence"), investment sub-advisor for First Trust Specialty Finance and F |
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| September 11, 2017 |
Regulation FD Disclosure, Financial Statements and Exhibits - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) September 11, 2017 First Trust Specialty Finance and Financial Opportunities Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-22039 06-1810845 (State o |
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| July 28, 2017 |
SUBMISSION OF MATTERS TO A VOTE OF SHAREHOLDERS The Fund held its Annual Meeting of Shareholders ("Annual Meeting") on April 24, 2017. |
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| May 1, 2017 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, James M. |
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| May 1, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 - First Trust Specialty Finance and Financial Opportunities Fund - (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 - (Address of princ |
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| April 10, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) FIRST TRUST SPECIALTY FINANC (Name of Issuer) COM BEN INTR (Title of Class of Securities) 33733G109 (CUSIP Number) March 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which thi |
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| March 10, 2017 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. FIRST TRUST ADVISORS L.P. ANNOUNCES PORTFOLIO MANAGER CONFERENCE CALL FOR FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND WHEATON, IL - (BUSINESS WIRE) - March 10, 2017 - First Trust Advisors L.P. ("FTA") announced today that Confluence Investment Management, LLC ("Confluence"), investment sub-advisor for First Trust Specialty Finance |
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| March 10, 2017 |
Regulation FD Disclosure, Financial Statements and Exhibits - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) March 10, 2017 First Trust Specialty Finance and Financial Opportunities Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-22039 06-1810845 (State or Ot |
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| March 9, 2017 |
First Trust Dynamic Europe Equity Income Fund DEFINITIVE PROXY STATEMENT As filed with the Securities and Exchange Commission on March 9, 2017. =============================================================================== U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant [X] Filed by a party other than the Registrant [ ] |
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| January 27, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) FIRST TRUST SPECIALTY FINANCE (Name of Issuer) COM BEN INTR (Title of Class of Securities) 33733G109 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| October 26, 2016 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, James M. |
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| October 26, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 - First Trust Specialty Finance and Financial Opportunities Fund - (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 - (Address of princ |
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| August 9, 2016 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. FIRST TRUST ADVISORS L.P. ANNOUNCES PORTFOLIO MANAGER CONFERENCE CALL FOR FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND WHEATON, IL - (BUSINESS WIRE) - August 9, 2016 - First Trust Advisors L.P. ("FTA") announced today that First Trust Specialty Finance and Financial Opportunities Fund (NYSE: FGB) (the "Fund") intends to host a confe |
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| August 9, 2016 |
Regulation FD Disclosure, Financial Statements and Exhibits - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) August 9, 2016 First Trust Specialty Finance and Financial Opportunities Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-22039 06-1810845 (State or Ot |
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| July 29, 2016 |
SUBMISSION OF MATTERS TO A VOTE OF SHAREHOLDERS The Joint Annual Meeting of Shareholders of the Common Shares of Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund, First Trust Energy Income and Growth Fund, First Trust Enhanced Equity Income Fund, First Trust/Aberdeen Global Opportunity Income Fund, First Trust Mortgage Income Fund, First Trust Strategic High Income Fund |
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| April 22, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 - First Trust Specialty Finance and Financial Opportunities - Fund (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 - (Address of princ |
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| April 22, 2016 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, James M. |
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| March 9, 2016 |
As filed with the Securities and Exchange Commission on March 9, 2016. =============================================================================== 1933 Act File No. 333-141457 1940 Act File No. 811-22039 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the regis |
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| February 18, 2016 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. FIRST TRUST ADVISORS L.P. ANNOUNCES PORTFOLIO MANAGER CONFERENCE CALL FOR FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND WHEATON, IL - (BUSINESS WIRE) - February 18, 2016 - First Trust Advisors L.P. ("FTA") announced today that First Trust Specialty Finance and Financial Opportunities Fund (NYSE: FGB) (the "Fund") intends to host a co |
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| February 18, 2016 |
Regulation FD Disclosure, Financial Statements and Exhibits - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) February 18, 2016 First Trust Specialty Finance and Financial Opportunities Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-22039 06-1810845 (State or |
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| October 15, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 - First Trust Specialty Finance and Financial Opportunities - Fund (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 - (Address of princ |
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| October 15, 2015 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, Mark R. |
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| July 28, 2015 |
Submission of Matters to a Vote of Shareholders The Joint Annual Meeting of Shareholders of the Common Shares of Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund, First Trust Energy Income and Growth Fund, First Trust Enhanced Equity Income Fund, First Trust/Aberdeen Global Opportunity Income Fund, First Trust Mortgage Income Fund, First Trust Strategic High Income Fund |
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| April 29, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 - First Trust Specialty Finance and Financial Opportunities Fund - (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 - (Address of princ |
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| April 29, 2015 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, Mark R. |
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| March 9, 2015 |
As filed with the Securities and Exchange Commission on March 9, 2015. =============================================================================== 1933 Act File No. 333-141457 1940 Act File No. 811-22039 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the regis |
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| February 23, 2015 |
FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND UP TO 1,400,000 COMMON SHARES OF BENEFICIAL INTEREST CAPITAL ON DEMAND(TM) SALES AGREEMENT February 23, 2015 JONESTRADING INSTITUTIONAL SERVICES LLC 780 Third Avenue, 3rd Floor New York, NY 10017 Ladies and Gentlemen: First Trust Specialty Finance and Financial Opportunities Fund, a Massachusetts business trust (the "FUND"), First Trust Advisors L. |
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| February 23, 2015 |
As filed with the Securities and Exchange Commission on February 23, 2015 ================================================================================ 1933 Act File No. |
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| February 23, 2015 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Post-Effective Amendment No. |
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| February 23, 2015 |
Morgan, Lewis & Bockius LLP One Federal Street Boston, Massachusetts 02110-1726 February 23, 2015 Chapman and Cutler LLP 111 West Monroe Street Chicago, Illinois 60603 First Trust Specialty Finance and Financial Opportunities Fund 120 East Liberty Drive, Suite 400 Wheaton, Illinois 60187 RE: First Trust Specialty Finance and Financial Opportunities Fund Ladies and Gentlemen: We have acted as special Massachusetts counsel to First Trust Specialty Finance and Financial Opportunities Fund, a Massachusetts business trust (the "Fund"), in connection with the Fund's Post-Effective Amendment No. |
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| February 23, 2015 |
EX-99.2L OPIN COUNSL 3 exhibitl1.txt OPINION AND CONSENT OF CHAPMAN AND CUTLER LLP CHAPMAN AND CUTLER LLP 111 WEST MONROE STREET CHICAGO, ILLINOIS 60603 February 23, 2015 First Trust Specialty Finance and Financial Opportunities Fund 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 Ladies and Gentlemen: As counsel to First Trust Specialty Finance and Financial Opportunities Fund (the "Fund"), w |
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| February 18, 2015 |
FGB / First Trust/Gallatin Specialtity Finance and Financial Opportunities Fund CORRESP - - First Trust Specialty Finance and Financial Opportunities Fund 120 East Liberty Drive Suite 400 Wheaton, Illinois 60187 February 18, 2015 Securities and Exchange Commission 100 F Street, N. |
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| January 23, 2015 |
FGB / First Trust/Gallatin Specialtity Finance and Financial Opportunities Fund CORRESP - - CHAPMAN AND CUTLER LLP 111 WEST MONROE STREET CHICAGO, ILLINOIS 60603 January 23, 2015 VIA EDGAR CORRESPONDENCE FILING Karen Rossotto, Esq. |
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| October 28, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 - First Trust Specialty Finance and Financial Opportunities Fund - (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 - (Address of princ |
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| October 28, 2014 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, Mark R. |
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| August 22, 2014 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. FIRST TRUST ADVISORS L.P. ANNOUNCES PORTFOLIO MANAGER CONFERENCE CALL FOR FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND WHEATON, IL - (BUSINESS WIRE) - August 18, 2014 - First Trust Advisors L.P. ("FTA") announced today that First Trust Specialty Finance and Financial Opportunities Fund (NYSE: FGB) (the "Fund") intends to host a conf |
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| August 22, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) August 18, 2014 First Trust Specialty Finance and Financial Opportunities Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-22039 06-1810845 (State or O |
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| August 4, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) August 4, 2014 First Trust Specialty Finance and Financial Opportunities Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-22039 06-1810845 (State or Ot |
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| August 4, 2014 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. FIRST TRUST ADVISORS L.P. ANNOUNCES PORTFOLIO MANAGER CONFERENCE CALL FOR FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND WHEATON, IL - (BUSINESS WIRE) - August 4, 2014 - First Trust Advisors L.P. ("FTA") announced today that First Trust Specialty Finance and Financial Opportunities Fund (NYSE: FGB) (the "Fund") intends to host a confe |
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| July 30, 2014 |
The Joint Annual Meeting of Shareholders of the Common Shares of First Trust Energy Infrastructure Fund, Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund, First Trust Energy Income and Growth Fund, First Trust Enhanced Equity Income Fund, First Trust/Aberdeen Global Opportunity Income Fund, First Trust Mortgage Income Fund, First Trust Strategic High Income Fund II, First Trust/Aberdeen Emerging Opportunity Fund, First Trust Specialty Finance and Financial Opportunities Fund, First Trust Dividend and Income Fund, First Trust High Income Long/Short Fund, First Trust MLP and Energy Income Fund and First Trust Intermediated Duration Preferred & Income Fund was held on April 23, 2014 (the "Annual Meeting"). |
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| July 21, 2014 |
FIRST TRUST ADVISORS LP CORRESP - - First Trust Closed-End Funds First Trust Series Fund July 21, 2014 Securities and Exchange Commission 100 F Street, N. |
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| April 24, 2014 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, Mark R. |
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| April 24, 2014 |
Quarterly Schedule of Portfolio Holdings - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 - First Trust Specialty Finance and Financial Opportunities - Fund (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 - (Address of princ |
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| April 8, 2014 |
Quarterly Schedule of Portfolio Holdings - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 - First Trust Specialty Finance and Financial Opportunities - Fund (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 - (Address of princ |
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| April 8, 2014 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, Mark R. |
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| March 12, 2014 |
As filed with the Securities and Exchange Commission on March 12, 2014. =============================================================================== 1933 Act File No. 333-141457 1940 Act File No. 811-22039 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the regi |
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| February 24, 2014 |
Regulation FD Disclosure, Financial Statements and Exhibits - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) February 14, 2014 First Trust Specialty Finance and Financial Opportunities Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-22039 06-1810845 (State or |
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| February 24, 2014 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. FIRST TRUST ADVISORS L.P. ANNOUNCES PORTFOLIO MANAGER CONFERENCE CALL FOR FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND WHEATON, IL - (BUSINESS WIRE) - February 14, 2014 - First Trust Advisors L.P. ("FTA") announced today that First Trust Specialty Finance and Financial Opportunities Fund (NYSE: FGB) (the "Fund") intends to host a co |
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| October 15, 2013 |
Quarterly Schedule of Portfolio Holdings - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 - First Trust Specialty Finance and Financial Opportunities Fund - (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 - (Address of princ |
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| October 15, 2013 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, Mark R. |
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| August 14, 2013 |
Regulation FD Disclosure, Financial Statements and Exhibits - CURRENT REPORT - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) August 14, 2013 First Trust Specialty Finance and Financial Opportunities Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-22039 06-1810845 (State or O |
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| August 14, 2013 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. FIRST TRUST ADVISORS L.P. ANNOUNCES PORTFOLIO MANAGER CALL FOR FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND WHEATON, IL - (BUSINESS WIRE) - August 14, 2013 - First Trust Advisors L.P. ("FTA") announced today that First Trust Specialty Finance and Financial Opportunities Fund (NYSE: FGB) intends to host a conference call with Conflue |
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| July 29, 2013 |
SUBMISSION OF MATTERS TO A VOTE OF SHAREHOLDERS The Joint Annual Meeting of Shareholders of the Common Shares of First Trust Energy Infrastructure Fund, Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund, First Trust Energy Income and Growth Fund, First Trust Enhanced Equity Income Fund, First Trust/Aberdeen Global Opportunity Income Fund, First Trust Mortgage Income Fund, First Trust Strategic High Income Fund II, First Trust/Aberdeen Emerging Opportunity Fund, First Trust Specialty Finance and Financial Opportunities Fund, First Trust Dividend and Income Fund (formerly known as First Trust Active Dividend Income Fund), and First Trust High Income Long/Short Fund was held on April 17, 2013 (the "Annual Meeting"). |
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| April 17, 2013 |
Quarterly Schedule of Portfolio Holdings - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 - First Trust Specialty Finance and Financial Opportunities - Fund (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 - (Address of princ |
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| April 17, 2013 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, Mark R. |
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| March 19, 2013 |
As filed with the Securities and Exchange Commission on March 19, 2013. =============================================================================== 1933 Act File No. 333-141457 1940 Act File No. 811-22039 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the regi |
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| February 15, 2013 |
Regulation FD Disclosure, Financial Statements and Exhibits - CURRENT REPORT - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) February 15, 2013 First Trust Specialty Finance and Financial Opportunities Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-22039 06-1810845 (State or |
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| February 15, 2013 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. FIRST TRUST ADVISORS L.P. ANNOUNCES PORTFOLIO MANAGER UPDATE CALL FOR FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND WHEATON, IL - (BUSINESS WIRE) - February 15, 2013 - First Trust Advisors L.P. ("FTA") announced today that First Trust Specialty Finance and Financial Opportunities Fund (NYSE: FGB) intends to host a conference call wit |
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| October 29, 2012 |
Quarterly Schedule of Portfolio Holdings - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 - First Trust Specialty Finance and Financial Opportunities Fund - (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 - (Address of princ |
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| October 29, 2012 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, Mark R. |
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| July 26, 2012 |
The Joint Annual Meeting of Shareholders of the Common Shares of First Trust Energy Income and Growth Fund, First Trust Enhanced Equity Income Fund, First Trust/Aberdeen Global Opportunity Income Fund, First Trust Mortgage Income Fund, First Trust Strategic High Income Fund II, First Trust/Aberdeen Emerging Opportunity Fund, First Trust Specialty Finance and Financial Opportunities Fund, First Trust Active Dividend Income Fund, First Trust Energy Infrastructure Fund, Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund and First Trust High Income Long/Short Fund was held on Monday, April 18, 2012 (the "Annual Meeting"). |
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| May 23, 2012 |
EX-99.1 2 pressrelease.txt UPDATED PRESS RELEASE PRESS RELEASE SOURCE: First Trust Advisors L.P. FIRST TRUST ADVISORS L.P. ANNOUNCES PORTFOLIO MANAGER UPDATE CALL FOR FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND WHEATON, IL - (BUSINESS WIRE) - May 23, 2012 - First Trust Advisors L.P. ("FTA") announced today that First Trust Specialty Finance and Financial Opportunities Fund (NYSE |
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| May 23, 2012 |
Regulation FD Disclosure, Financial Statements and Exhibits - CURRENT REPORT - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) May 23, 2012 First Trust Specialty Finance and Financial Opportunities Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-22039 06-1810845 (State or Othe |
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| May 23, 2012 |
Regulation FD Disclosure, Financial Statements and Exhibits - AMENDED CURRENT REPORT - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) May 23, 2012 First Trust Specialty Finance and Financial Opportunities Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-22039 06-1810845 (State or Othe |
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| May 23, 2012 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. FIRST TRUST ADVISORS L.P. ANNOUNCES PORTFOLIO MANAGER UPDATE CALL FOR FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND WHEATON, IL - (BUSINESS WIRE) - May 23, 2012 - First Trust Advisors L.P. ("FTA") announced today that First Trust Specialty Finance and Financial Opportunities Fund (NYSE: FGB) intends to host a conference call with Con |
|
| April 19, 2012 |
Quarterly Schedule of Portfolio Holdings - QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 - First Trust Specialty Finance and Financial Opportunities - Fund (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 - (Address of princ |
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| April 19, 2012 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, Mark R. |
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| March 16, 2012 |
As filed with the Securities and Exchange Commission on March 16, 2012. =============================================================================== 1933 Act File No. 333-141457 1940 Act File No. 811-22039 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the regi |
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| October 24, 2011 |
Regulation FD Disclosure, Financial Statements and Exhibits - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) October 24, 2011 First Trust Specialty Finance and Financial Opportunities Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-22039 06-1810845 (State or |
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| October 24, 2011 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, James A. |
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| October 24, 2011 |
EX-99.1 2 pressrelease.txt PRESS RELEASE PRESS RELEASE SOURCE: First Trust Advisors L.P. FIRST TRUST ADVISORS L.P. ANNOUNCES PORTFOLIO MANAGER UPDATE CALL FOR FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND WHEATON, IL - (BUSINESS WIRE) - October 24, 2011 - First Trust Advisors L.P. ("FTA") announced today that First Trust Specialty Finance and Financial Opportunities Fund (NYSE: FG |
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| October 24, 2011 |
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 - First Trust Specialty Finance and Financial Opportunities - Fund (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 - (Address of princ |
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| July 27, 2011 |
A special meeting of shareholders of the Fund was held on January 3, 2011. At the meeting, shareholders approved a new investment management agreement between the Fund and First Trust and a new investment sub-advisory agreement between the Fund, First Trust and Confluence. 7,178,163 (50.27%) of the outstanding voting securities were voted at the meeting. The number of votes cast in favor of the ne |
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| July 27, 2011 |
INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT made as of this 3rd day of January, 2011, by and among First Trust Specialty Finance and Financial Opportunities Fund, a Massachusetts business trust (the "Fund"), First Trust Advisors L. |
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| July 27, 2011 |
INVESTMENT MANAGEMENT AGREEMENT INVESTMENT MANAGEMENT AGREEMENT made this 3rd day of January, 2011, by and between FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND, a Massachusetts business trust (the "Fund"), and FIRST TRUST ADVISORS L. |
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| April 29, 2011 |
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 - First Trust Specialty Finance and Financial Opportunities Fund - (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 - (Address of princ |
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| April 29, 2011 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, James A. |
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| March 25, 2011 |
As filed with the Securities and Exchange Commission on March 25, 2011. =============================================================================== 1933 Act File No. 333-141457 1940 Act File No. 811-22039 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the regi |
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| February 16, 2011 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. FIRST TRUST ADVISORS L.P. ANNOUNCES PORTFOLIO MANAGER UPDATE CALL FOR FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND WHEATON, IL - (BUSINESS WIRE) - February 16, 2011 - First Trust Advisors L.P. ("FTA") announced today that First Trust Specialty Finance and Financial Opportunities Fund (NYSE: FGB) intends to host a conference call wit |
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| February 16, 2011 |
- - - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) February 16, 2011 First Trust Specialty Finance and Financial Opportunities Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-22039 06-1810845 (Stat |
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| December 29, 2010 |
ADDITIONAL PROXY SOLICITATION MATERIALS SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| October 27, 2010 |
EXHIBIT 99.CERT CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, James A. Bowen, certify that: 1. I have reviewed this report on Form N-Q of First Trust Specialty Finance and Financial Opportunities Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to |
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| October 27, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 (Address of principal e |
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| October 19, 2010 |
CHAPMAN AND CUTLER LLP 111 WEST MONROE STREET CHICAGO, ILLINOIS 60603 October 19, 2010 Via EDGAR Correspondence - Mr. |
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| October 19, 2010 |
As filed with the Securities and Exchange Commission on October 19, 2010. =============================================================================== 1933 Act File No. 333-141457 1940 Act File No. 811-22039 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the re |
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| September 24, 2010 |
As filed with the Securities and Exchange Commission on September 24, 2010. =============================================================================== 1933 Act File No. 333-141457 1940 Act File No. 811-22039 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the |
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| September 24, 2010 |
CHAPMAN AND CUTLER LLP 111 WEST MONROE STREET CHICAGO, ILLINOIS 60603 September 24, 2010 Securities and Exchange Commission 100 F Street, N. |
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| July 28, 2010 |
77Q1 Amended By-Laws As amended and restated on June 16, 2010 BY-LAWS OF EACH TRUST LISTED ON SCHEDULE A HERETO (EACH, A "TRUST") ARTICLE I DEFINITIONS Any capitalized terms not defined herein shall have the respective meanings given them in the Declaration of Trust of the Trust as the same may be in effect from time to time. |
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| July 28, 2010 |
77 C - Matters submitted to a vote of security holders The Joint Annual Meeting of Shareholders of the Common Shares of Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund, Energy Income and Growth Fund, First Trust Enhanced Equity Income Fund, First Trust/Aberdeen Global Opportunity Income Fund, First Trust/FIDAC Mortgage Income Fund, First Trust Strategic High Income Fund, First Trust Strategic High Income Fund II, First Trust/Aberdeen Emerging Opportunity Fund, First Trust Strategic High Income Fund III, First Trust Specialty Finance and Financial Opportunities Fund and First Trust Active Dividend Income Fund was held on April 14, 2010. |
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| July 23, 2010 |
Regulation FD Disclosure, Financial Statements and Exhibits - - - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported) July 6, 2010 First Trust Specialty Finance and Financial Opportunities Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-22039 06-1810845 (State or |
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| July 23, 2010 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. FIRST TRUST ADVISORS L.P. ANNOUNCES PORTFOLIO MANAGER UPDATE CALL FOR FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND WHEATON, IL - (BUSINESS WIRE) - July 21, 2010 - First Trust Advisors L.P. ("FTA") announced today that First Trust Specialty Finance and Financial Opportunities Fund (NYSE: FGB) intends to host a conference call with Co |
|
| April 29, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 Wheaton, IL 60187 (Address of principal e |
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| April 29, 2010 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, James A. |
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| March 22, 2010 |
As filed with the Securities and Exchange Commission on March 22, 2010. =============================================================================== 1933 Act File No. 333-141457 1940 Act File No. 811-22039 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the regi |
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| October 28, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 First Trust Specialty Finance and Financial Opportunities Fund (Exact name of registrant as specified in charter) 120 East Liberty Drive Suite 400 Wheaton, IL 60187 (Address of principal ex |
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| October 28, 2009 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, James A. |
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| July 24, 2009 |
77 C - Matters submitted to a vote of security holders The Joint Annual Meeting of Shareholders of the Common Shares of Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund, Energy Income and Growth Fund, First Trust Enhanced Equity Income Fund, First Trust/Aberdeen Global Opportunity Income Fund, First Trust/FIDAC Mortgage Income Fund, First Trust Strategic High Income Fund, First Trust Strategic High Income Fund II, First Trust Tax-Advantaged Preferred Income Fund, First Trust Specialty Finance and Financial Opportunities Fund and First Trust Active Dividend Income Fund was held on April 16, 2009. |
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| April 27, 2009 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, James A. |
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| April 27, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 WHEATON, IL 60187 (Address of principal e |
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| March 25, 2009 |
As filed with the Securities and Exchange Commission on March 25, 2009. =============================================================================== 1933 Act File No. 333-141457 1940 Act File No. 811-22039 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the regi |
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| October 30, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND (FORMERLY FIRST TRUST/GALLATIN SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND) (Exact name of registrant as specified in c |
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| October 30, 2008 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, James A. |
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| October 29, 2008 |
SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| October 17, 2008 |
SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| October 7, 2008 |
SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| September 26, 2008 |
SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| September 25, 2008 |
FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND 1001 WARRENVILLE ROAD SUITE 300 LISLE, ILLINOIS 60532 VIA EDGAR - - September 25, 2008 Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Request for Withdrawal - Form RW First Trust Specialty Finance and Financial Opportunities Fund (formerly known as First Trust/Gallatin Specialty Finance and Financial Opportunities Fund) Registration on Form N-2 (Registration Statement File No. |
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| September 19, 2008 |
As filed with the Securities and Exchange Commission on September 19, 2008. =============================================================================== 1933 Act File No. 333-141457 1940 Act File No. 811-22039 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the |
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| September 2, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* First Trust/Gallatin Specialty Finance and Special Opportunities Fund (Name of Issuer) Common Stock, No Par Value (Title of Class of Securities) 33733G109 (CUSIP Number) June 30, 2008 (Date of Event Which Requires Filing of this Statement) Check the appr |
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| September 2, 2008 |
EXHIBIT 1 Joint Filing Agreement In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, each of the persons named below agrees to the joint filing of a Statement on Schedule 13G (including amendments thereto) with respect to the common stock, no par value, of First Trust/Gallatin Specialty Finance and Financial Opportunities Fund, a Massachusetts corporation, and f |
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| August 29, 2008 |
As filed with the Securities and Exchange Commission on August 29, 2008. =============================================================================== 1933 Act File No. 333-141457 1940 Act File No. 811-22039 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the reg |
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| July 30, 2008 |
Exhibit 77 C for 5/31/2008 N-SAR: Submission of Matters to a Vote of Shareholders First Trust Gallatin Specialty Finance and Financial Opportunities Fund At a special shareholder meeting of the Fund held on February 20, 2008, shareholders voted to approve a new investment sub-advisory agreement with Gallatin. |
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| July 29, 2008 |
SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| June 17, 2008 |
EXHIBIT 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, each of the persons named below agrees to the joint filing of a Statement on Schedule 13G (including amendments thereto) with respect to the common stock, no par value, of First Trust/Gallatin Specialty Finance and Financial Opportunities Fund, a Massachusetts corporation, an |
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| June 17, 2008 |
OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2009 Estimated average burden hours per response 10. |
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| April 23, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 - FIRST TRUST/GALLATIN SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND - (Exact name of registrant as specified in charter) 1001 Warrenville Road, Suite 300 LISLE, IL 60532 - (Address of |
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| April 23, 2008 |
CERTIFICATION PURSUANT TO RULE 30A-2(A) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, James A. |
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| March 21, 2008 |
As filed with the Securities and Exchange Commission on March 21, 2008. =============================================================================== 1933 Act File No. 333-141457 1940 Act File No. 811-22039 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the regi |
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| February 1, 2008 |
SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| January 11, 2008 |
SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| December 6, 2007 |
As filed with the Securities and Exchange Commission on December 6, 2007. =============================================================================== 1933 Act File No. 333-141457 1940 Act File No. 811-22039 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the re |
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| November 20, 2007 |
As filed with the Securities and Exchange Commission on November 20, 2007. =============================================================================== 1933 Act File No. 333-141457 1940 Act File No. 811-22039 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the r |
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| October 26, 2007 |
CERTIFICATION PURSUANT TO RULE 30a-2(a) UNDER THE 1940 ACT AND SECTION 302 OF THE SARBANES-OXLEY ACT I, James A. |
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| October 26, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22039 - First Trust/Gallatin Specialty Finance and Financial Opportunities Fund - - (Exact name of registrant as specified in charter) 1001 Warrenville Road, Suite 300 Lisle, IL 60532 - - (Addres |
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| September 25, 2007 |
SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| July 30, 2007 |
INVESTMENT SUB-ADVISORY AGREEMENT AGREEMENT made as of this 24th day of May, 2007 by and among First Trust/Gallatin Specialty Finance and Financial Opportunities Fund, a Massachusetts business trust (the "Fund"), First Trust Advisors L. |
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| July 30, 2007 |
BY-LAWS OF FIRST TRUST/GALLATIN SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND (THE "TRUST") ARTICLE I DEFINITIONS Any capitalized terms not defined herein shall have the respective meanings given them in the Declaration of Trust of the Trust as the same may be in effect from time to time. |
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| July 30, 2007 |
INVESTMENT MANAGEMENT AGREEMENT INVESTMENT MANAGEMENT AGREEMENT made this 24th day of May, 2007, by and between FIRST TRUST/GALLATIN SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND, a Massachusetts business trust (the "Fund"), and FIRST TRUST ADVISORS L. |
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| May 25, 2007 |
REGISTRATION OF ADDITIONAL SECURITIES As filed with the Securities and Exchange Commission on May 25, 2007 ================================================================================ 1933 Act File No. |
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| May 25, 2007 |
EXHIBIT L.1 Chapman and Cutler LLP 111 West Monroe Street Chicago, Illinois 60603 May 25, 2007 First Trust/Gallatin Specialty Finance and Financial Opportunities Fund 1001 Warrenville Road Lisle, Illinois 60532 Re: First Trust/Gallatin Specialty Finance and Financial Opportunities Fund - Ladies and Gentlemen: We have acted as counsel for First Trust/Gallatin Specialty Finance and Financial Opportu |
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| May 25, 2007 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the incorporation by reference in this Post-Effective Amendment No. |
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| May 17, 2007 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 FIRST TRUST/GALLATIN SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND - - (Exact name of registrant as specified in its charter) MASSACHUSETTS 06-1810845 - - - (State of Incorporation or Organization) (I.R.S. Employ |
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| March 21, 2007 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8A NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company hereby notifies the Securities and Exchange Commission that it registers under and pursuant to the provisions of Section 8(a) of the Investment Company Act of 1940 and in connection with such notific |
