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Mutual Funds: Regulation (118)
Your search for Mutual Funds: Regulation returned 118 results.
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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...
1/18/2018 | Content area: Investment Adviser
One sign many are taking from the new SEC FAQs is that the agency will reject industry pressure and implement its liquidity risk management rule on ti...
1/18/2018 | Content area: Investment Adviser
Here are the main requirements of Investment Company Act rule 22e–4 (liquidity risk management programs)(see related story): Develop relevant compli...
1/11/2018 | Content area: Investment Adviser
With all current signs indicating larger mutual funds will have to have a liquidity risk management program in place by December, the SEC has released...
12/14/2017 | Content area: Investment Adviser
The Securities and Exchange Commission (the ‘‘Commission’’) is adopting a temporary final rule that requires funds in larger fund groups to maintain i...
12/12/2017 | Content area: Investment Adviser
Based on the facts and representations set forth in your letter, we would not recommend that the Commission take any enforcement action under Section ...


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