The U.S. Securities and Exchange Commission (SEC or Commission) has unanimously adopted new rules and rule amendments to require registered open-end investment companies (including exchange traded funds and exchange-traded...more
Earlier today, the U.S. Securities and Exchange Commission (SEC) unanimously adopted a new rule and amendments to certain rules and forms that will require registered open-end investment companies, including mutual funds and...more
10/14/2016
/ Amended Regulation ,
Disclosure Requirements ,
Form N-PORT ,
Investment Companies ,
Investment Management ,
Liquidity Risk Management Rule ,
New Regulations ,
Registered Investment Companies (RICs) ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Swing Pricing
The Staff of the Division of Investment Management (Staff) of the U.S. Securities and Exchange Commission (SEC or Commission) has published responses to frequently asked questions (FAQs) regarding the SEC’s 2014 amendments...more
6/17/2015
/ Amortization ,
Capital Contributions ,
Disclosure Requirements ,
Division of Investment Management ,
Floating NAV ,
Fund Managers ,
Investment Companies ,
Liquidity Fees ,
Money Market Funds ,
NAV ,
New Amendments ,
Redemption Gates ,
Reorganizations ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Seed Financing ,
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