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Mutual Funds: Regulation (123)
Your search for Mutual Funds: Regulation returned 123 results.
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3/21/2019 | Content area: Investment Adviser
After achieving 100% of its planned milestone’s last year, the SEC’s Division of Investment Management is actively moving on a number of priorities co...
3/21/2019 | Content area: Investment Adviser
Investment companies will enjoy a phase-in period before being required to file disclosures with the SEC in an HTML format with hyperlinks. The first ...
3/08/2019 | Content area: Investment Adviser
In recognition that business can be conducted from anywhere these days, the SEC’s Division of Investment Management has issued no-action relief reques...
2/28/2019 | Content area: Investment Adviser
A new SEC interim final rule turns the planned monthly Form N-Port reporting by mutual funds into quarterly reports. The Commission also relaxes the i...
2/28/2019 | Content area: Investment Adviser
The Securities and Exchange Commission (the “Commission”) is adopting an interim final rule that will amend 17 CFR 270.30b1-9 (rule 30b1-9) to require...
12/20/2018 | Content area: Investment Adviser | Private Fund
There may be 12 days of Christmas but you can count six regulations – four final rules and two proposals – newly gifted from SEC commissioners. Only o...
11/09/2018 | Content area: Investment Adviser
If you’re an adviser to a mutual fund that wishes to begin using swing pricing when the SEC’s rules take effect Nov. 19, remember you must have releva...
7/05/2018 | Content area: Investment Adviser
The SEC’s revised approach to liquidity risk management gives advisers extra time to describe their programs, which will now only need to be a narrati...
7/03/2018 | Content area: Investment Adviser
In the three months since SEC commissioners voted 3-2 to propose a backtrack on planned mutual fund adviser risk management reporting no minds changed...
6/29/2018 | Content area: Investment Adviser
The Securities and Exchange Commission (“Commission”) is adopting amendments to its forms designed to improve the reporting and disclosure of liquidit...
6/06/2018 | Content area: Investment Adviser
The Securities and Exchange Commission is adopting new rule 30e-3 under the Investment Company Act of 1940. Subject to conditions, new rule 30e-3 will...
6/05/2018 | Content area: Investment Adviser
The Securities and Exchange Commission (“Commission”) is seeking public comment from individual investors and other interested parties on enhancing di...
5/31/2018 | Content area: Investment Adviser
With clear signs that the SEC will reverse itself on its mutual fund liquidity disclosure rule (IA Watch, May 24, 2018), predictions are also being ma...
5/24/2018 | Content area: Investment Adviser
Fewer than two dozen comments came into the SEC after its March proposal to reverse direction on its liquidity risk management disclosure rule (IA Wat...
3/19/2018 | Content area: Investment Adviser
In the early days, the term “ETF” meant something fairly specific. Today, however, the term is used to describe investment companies with a wide range...
3/14/2018 | Content area: Investment Adviser
The Securities and Exchange Commission is proposing amendments to its forms designed to improve the reporting and disclosure of liquidity information ...
3/14/2018 | Content area: Investment Adviser
A reflection of how Washington works these days can be seen in the SEC Commission meeting March 14. It marked the first time a full five-member Commis...
3/01/2018 | Content area: Investment Adviser
The six-month delay affecting parts of the SEC’s liquidity risk management program may not be enough (IA Watch, Feb. 22, 2018).   “The reprieve is cer...
2/22/2018 | Content area: Investment Adviser
SEC commissioners acted Feb. 21 to push back the start of its liquidity risk management rule from this December to June 2019. The motive was to give f...
2/22/2018 | Content area: Investment Adviser
The Securities and Exchange Commission is adopting an interim final rule that revises the compliance date for the requirements of rule 22e-4 for class...


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