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Money Market Funds (42)
Your search for Money Market Funds returned 42 results.
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4/26/2018 | Content area: Investment Adviser
SEI funds had the option of loaning out securities to borrowers in exchange for cash collateral covering 102%-105% of the value of the loaned securiti...
7/20/2017 | Content area: Investment Adviser
Get ready to submit some “test” filings of new Forms N-PORT and N-CEN later this year when the SEC releases a new version of EDGAR. These tests will g...
6/01/2017 | Content area: Investment Adviser
The Commission’s complaint alleged that Avatar and Fernandes failed to disclose material conflicts of interest in connection with investments Avatar m...
8/08/2016 | Content area: CPO/CTA
I do not think that the staff of the Commission should be supporting this kind of “window dressing” – giving the impression of greater security than t...
8/08/2016 | Content area: CPO/CTA
The Division will not recommend an enforcement action under Regulation 1.25 against an FCM that continues to invest, on or after October 14, 2016, its...
7/13/2016 | Content area: Investment Adviser
OCIE is seeking to identify conflicts of interest tied to advisers’ compensation or financial incentives for recommending mutual fund and 529 Plan sha...
1/21/2016 | Content area: Investment Adviser
If a money market fund includes the word “government” in its name, the fund should have a policy that it will invest “at least 80% of its net assets i...
9/25/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This final rule is related to the removal of credit rating references in rule 2a–7, the principal rule that governs money market funds, and Form N–MFP...
5/28/2015 | Content area: Investment Adviser
Investment company advisers would have to indicate if their CCOs are compensated or employed by anyone other than their fund, according to the SEC’s n...
5/14/2015 | Content area: Investment Adviser
This matter involves Nationwide’s processing of purchase and redemption orders for variable insurance contracts and underlying mutual funds (collectiv...
4/23/2015 | Content area: Investment Adviser
Advisers affected by last year’s SEC money market fund reforms have until next year to master the major elements of the rule. Last week, the agency mo...
2/24/2015 | Content area: Investment Adviser
This guidance from the Division of Investment Management encourages fund compliance personnel to maintain P&Ps about gifts and entertainment. The Inve...
1/29/2015 | Content area: Investment Adviser | Private Fund
Firms that remain stingy when it comes to supporting a compliance department should heed the lessons spawned by Ambassador Capital Management. The Det...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Definitions— (1) Acquisition (or acquire) means any purchase or subsequent rollover (but does not include the failure to exercise a demand feature...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Exemptions for acquisition of money market fund shares. If the conditions of paragraph (b) of this section are satisfied, notwithstanding sections...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
The purchase of a security from the portfolio of an open-end investment company holding itself out as a money market fund by any affiliated person or ...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Exemption. A registered open-end management investment company or series thereof (“fund”) that is regulated as a money market fund under §270.2a-7...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
Every registered open-end management investment company, or series thereof, that is regulated as a money market fund under §270.2a-7 must file with th...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
Every registered open-end management investment company, or series thereof, that is regulated as a money market fund under §270.2a-7, that experiences...
7/28/2014 | Content area: Investment Adviser
A divided Commission voted last week to hold institutional money market funds to a floating NAV and to give fund boards the ability to impose redempti...


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