Investment Company Act

This is the SEC's recordkeeping rule tied to good faith fund valuations

This rule gives investment advisers broad fund valuation duties as 'valuation designees'

This is the SEC's derivatives rule approved in 2020

The SEC passed this fund of funds' rule in 2020. It affect investment advisers to mutual funds but not private funds.

This is the so-called ETF rule passed by the SEC in 2019 that codified years of exemptive relief

The Securities and Exchange Commission is proposing rule 18f-4, a new exemptive rule under the Investment Company Act of 1940 designed to address the investor ...

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 ...

The proposed amendments also seek to enhance disclosure regarding fund liquidity and redemption practices. The Commission is proposing new rule 22e-4, which would require each ...

This is the SEC's swing pricing rule for certain registered funds

Chief compliance officer. Designate one individual responsible for administering the fund's policies and procedures adopted under paragraph (a)(1) of this section