On September 22, the Securities and Exchange Commission proposed a comprehensive package of rule reforms designed to enhance effective liquidity risk management by open-end funds, including mutual funds and exchange-traded...more
9/30/2015
/ Asset Class ,
Board of Directors ,
Comment Period ,
ETFs ,
Independent Director ,
Investment Company Act of 1940 ,
Investment Funds ,
Liquidity Risk Management Rule ,
Mutual Funds ,
NAV ,
Proposed Regulation ,
Registration Statement ,
Securities and Exchange Commission (SEC)
SEC/CORPORATE -
SEC Advisory Committee on Small and Emerging Companies Makes Recommendations -
On September 23, the Securities and Exchange Commission Advisory Committee on Small and Emerging Companies (Advisory...more
9/28/2015
/ ACH Payments ,
Asset Diversification ,
Banking Sector ,
Broker-Dealer ,
CFTC ,
Derivatives ,
Derivatives Clearing Organizations ,
Emerging Growth Companies ,
FDIC ,
Financial Conduct Authority (FCA) ,
Finders ,
Investment Funds ,
IRS ,
Mutual Funds ,
Registration Requirement ,
Rule 147 ,
SEC Advisory Committee ,
Securities and Exchange Commission (SEC) ,
Supervision ,
U.S. Treasury ,
UK