Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Money Market Funds: Regulation (42)
Your search for Money Market Funds: Regulation returned 42 results.
Sorted by Date

11/21/2018 | Content area: Investment Adviser
In all honesty, if you’re an adviser with a mutual fund with more than $1 billion in assets, you should already have plans in place to comply with the...
10/29/2018 | Content area: Investment Adviser
We would not recommend that the Commission take any enforcement action under Section 5(b) or Section 6(a) of the Securities Act against any Fund if it...
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...
9/16/2015 | Content area: Investment Adviser | Broker-Dealer
These amendments implement the congressional mandate in Section 939A of the Dodd-Frank Act (“Dodd-Frank”) to eliminate such references from all of our...
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...
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, that experiences...
1/01/2015 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
(a) Every registered investment company shall: (1) Preserve permanently, the first two years in an easily accessible place, all books and records requ...
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...
7/24/2014 | Content area: Investment Adviser | Broker-Dealer | CPO/CTA | Private Fund
This is the final rule passed by the SEC in 2014 that brings reforms like a floating NAV and the imposition of fees and gates during times of stress t...
4/15/2014 | Content area: Investment Adviser
    Securities Exchange Act of 1934 — Rule 14a-8(i)(5) JP Morgan Municipal Money Market Fund April 15, 2014 ...
10/28/2013 | Content area: Investment Adviser
Hundreds of suggestions have poured into the SEC following its proposed changes to money market funds, from dumping the floating NAV to starting over ...
9/09/2013 | Content area: Investment Adviser
The numbers of money market funds have dropped considerably since the Lehman failure crippled the ReservePrimary Fund during the financial crisis (IA ...
6/24/2013 | Content area: Investment Adviser
With last week's appearance in the Federal Register of the SEC's new proposal affecting money market fund advisers (IA Watch, June 17, 2013), we know ...
6/17/2013 | Content area: Investment Adviser
Make your way through the 698-page proposal from the SEC on money market fund reforms and you'll come across items sure to please some and peeve other...
6/10/2013 | Content area: Investment Adviser
You could not have foreseen this outcome only months ago. The five SEC commissioners unanimously agreed to propose reforms for money market fund advis...


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US