The Securities and Exchange Commission on August 5, 2020 unanimously approved proposed rule and form amendments (Proposed Rule) that would comprehensively revise and update the disclosure framework for mutual funds and...more
9/3/2020
/ Advertising ,
Business Development Companies ,
Corporate Governance ,
Disclosure Requirements ,
ETFs ,
Exchange-Traded Products ,
Investment Companies ,
Management Fees ,
Mutual Funds ,
Proposed Amendments ,
Securities and Exchange Commission (SEC) ,
Shareholders ,
Transaction Fees
The 2020 Examination Priorities of the Office of Compliance Inspections and Examinations (OCIE) of the U.S. Securities and Exchange Commission were announced on January 7, 2020, and cover eight broad topics:
- Protection...more
2/1/2020
/ Anti-Money Laundering ,
Broker-Dealer ,
Critical Infrastructure Sectors ,
Cybersecurity ,
Digital Assets ,
ETFs ,
Examination Priorities ,
Financial Industry Regulatory Authority (FINRA) ,
FinTech ,
Innovation ,
Investor Protection ,
MSRB ,
Municipal Advisers ,
Mutual Funds ,
OCIE ,
Registered Investment Advisors ,
Registered Investment Companies (RICs) ,
Retail Investors ,
Rulemaking Process ,
Securities and Exchange Commission (SEC) ,
Stock Exchange
The Securities and Exchange Commission voted on December 19, 2018 to propose Rule 12d1-4 (proposed rule) and related amendments to the regulatory framework governing funds that invest in other funds (“fund of funds”...more
1/8/2019
/ Acquired Fund Fees and Expenses (AFFE) ,
Acquisitions ,
Business Development Companies ,
Closed-End Funds ,
Complex Financial Products ,
Controlling Stockholders ,
Disclosure Requirements ,
Excessive Fees ,
Exchange-Traded Products ,
Exemptions ,
Foreign Acquisitions ,
Form N-CEN ,
Fund of Funds ,
Investment Company Act of 1940 ,
Mutual Funds ,
Private Funds ,
Proposed Amendments ,
Registered Investment Companies (RICs) ,
Securities and Exchange Commission (SEC) ,
Share Redemption ,
Voting Rights
On December 19, 2018, the Securities and Exchange Commission (SEC) voted to propose Rule 12d1-4 (proposed rule) and related amendments to the regulatory framework governing funds that invest in other funds (“fund of funds”...more
12/21/2018
/ Amended Regulation ,
Business Development Companies ,
Closed-End Funds ,
Exchange-Traded Products ,
Form N-CEN ,
Fund of Funds ,
Investment Company Act of 1940 ,
Mutual Funds ,
Proposed Rules ,
Registered Investment Companies (RICs) ,
Regulatory Reform ,
Right to Control ,
Securities and Exchange Commission (SEC) ,
Voting Shares
The U.S. Securities and Exchange Commission (SEC or Commission) on September 22, 2015 proposed a rule that would require all registered open-end funds and open-end exchange-traded funds (ETFs), other than money market funds...more
Recently, the U.S. Securities and Exchange Commission unanimously approved proposals that would require open-end funds, including mutual funds and exchange-traded funds, to comply with new liquidity management rules. The...more