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
The US Securities and Exchange Commission (Commission) adopted amendments to the rule governing money market funds on July 12, 2023 in an attempt to address concerns about institutional prime and institutional tax-exempt...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
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
If adopted, the proposed requirements would significantly alter funds’ ability to enter into derivatives and other financial transactions, present new operational challenges, expand reporting requirements, and impose new and...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