The US Securities and Exchange Commission (SEC), by a 3-2 vote, recently adopted amendments to registered fund reporting requirements on Form N-PORT and Form N-CEN and provided guidance on open-end funds’ liquidity risk...more
On September 20, 2023, in a 4-1 vote, the US Securities and Exchange Commission (SEC) adopted amendments (the Amendments) to the rule governing fund names, which impose new disclosure, compliance, reporting, and recordkeeping...more
The US Securities and Exchange Commission (SEC) recently finalized rule and form amendments (Adopted Rules) that require mutual funds and most exchange-traded funds (ETFs) to provide shareholders with streamlined and...more
In a 3-1 vote on May 25, 2022, the US Securities and Exchange Commission (SEC) approved a proposed environmental, social, and governance (ESG) rulemaking for investment advisers and funds. The proposed rule and form...more
The US Securities and Exchange Commission (SEC) recently proposed a comprehensive framework of cybersecurity-related rules and amendments for investment advisers and investment companies. Although advisers and funds may have...more
The US Securities and Exchange Commission (SEC) recently proposed amendments (Amendments) to its rules governing money market funds. The Amendments are intended to incorporate lessons learned from the COVID-19-related market...more
12/23/2021
/ Financial Regulatory Reform ,
Form N-MFP ,
Liquidity ,
Liquidity Fees ,
Money Market Funds ,
Proposed Amendments ,
Redemption Gates ,
Reporting Requirements ,
Rule 2a-7 ,
Securities and Exchange Commission (SEC) ,
Swing Pricing
UPDATE ON CRYPTO ASSETS IN ETFS -
In 2018, the US Securities and Exchange Commission’s Division of Investment Management staff penned a letter to the Investment Company Institute and the Securities Industry and Financial...more
12/15/2021
/ Bitcoin ,
Cryptocurrency ,
Digital Assets ,
ETFs ,
Exchange-Traded Products ,
Investment Company Act of 1940 ,
Investment Funds ,
Investment Management ,
Mutual Funds ,
Registered Investment Companies (RICs) ,
Securities and Exchange Commission (SEC) ,
Shareholder Approval
The environmental, social, and governance (ESG) landscape is being shaped by the establishment of various ESG standards and frameworks (summarized and compared herein), many of which have been adopted on a voluntary basis by...more
On October 7, 2020, the US Securities and Exchange Commission (SEC) adopted Rule 12d1-4 (Rule) under the Investment Company Act of 1940 (Act) and related amendments (Amendments) that are collectively designed to provide a...more
GENERIC LISTING STANDARDS FOR ETFS RELYING ON RULE 6C-11 APPROVED -
The US Securities and Exchange Commission (SEC) has approved generic listing standards proposed by NYSE Arca, Inc., Cboe BZX Exchange, Inc., and The Nasdaq...more
5/7/2020
/ Coronavirus/COVID-19 ,
Derivatives ,
Disclosure Requirements ,
ETFs ,
Exchange-Traded Products ,
Financial Markets ,
Investment Management ,
Listing Standards ,
Relief Measures ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Transactions
The US Securities and Exchange Commission, Financial Industry Regulatory Authority, Commodity Futures Trading Commission, and National Futures Association have each announced temporary regulatory relief for market...more
The US Securities and Exchange Commission (SEC) proposed new rules and amendments on November 25 that establish requirements for the use of derivatives and other financial transactions by registered investment companies,...more