NYSE Arca’s proposal would use a two-part test to identify aberrant prices in trades of exchange-traded products and then warn the market of such trades in an effort to deter further pricing dislocations....more
In the second step of its five-part plan to enhance registered funds regulations, the SEC has proposed new requirements on portfolio liquidity, risk monitoring, and board oversight.
At an open meeting held on September...more
9/28/2015
/ Comment Period ,
Disclosure Requirements ,
ETFs ,
Investment Company Act of 1940 ,
Liquidity Risk Management Rule ,
Mary Jo White ,
Mutual Funds ,
New Regulations ,
Proposed Regulation ,
Registered Funds ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Share Redemption ,
Shareholders ,
Swing Pricing
Proposals would impose new disclosure requirements designed to enhance the SEC’s ability to monitor the industry.
On May 20, the US Securities and Exchange Commission (SEC) unanimously approved proposals intended to...more