8-K 1 fgb_8k.txt 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) 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 Other Jurisdiction (Commission File Number) (IRS Employer of Incorporation) Identification No.) 120 East Liberty Drive, Suite 400 Wheaton, Illinois 60187 (Address of Principal Executive Offices) (Zip Code) Registrant's telephone number, including area code (630) 765-8000 ___________________________________________________________________ (Former Name or Former Address, if Changed Since Last Report.) Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): |_| Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |_| Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |_| Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |_| Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) -------------------------------------------------------------------------------- -------------------------------------------------------------------------------- Item 7.01 Regulation FD Disclosure. First Trust Specialty Finance and Financial Opportunities Fund (the "Fund") is filing herewith a press release issued on October 24, 2011, as Exhibit 99.1. The press release was issued by First Trust Advisors, L.P. to report that on November 7, 2011, the Fund will host a conference call with Confluence Investment Management, LLC, the Fund's investment sub-advisor. The purpose of the call is for the Fund's portfolio management team to provide an update for the Fund. Details regarding the conference call are contained in the press release included herein. Item 9.01 Financial Statements and Exhibits. (d) Exhibits Exhibit Number Description 99.1 Press release of First Trust Advisors, L.P. dated October 24, 2011. SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. Dated: October 24, 2011 FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND By: /s/ W. Scott Jardine ---------------------------------- Name: W. Scott Jardine Title: Secretary EXHIBIT INDEX Exhibit Number Description 99.1 Press release of First Trust Advisors, L.P. dated October 24, 2011.