The "staff, pursuant to the exemptive orders, requests that, in digital advertisements, non-transparent ETFs use either the text and formatting of the Risk Legend as ...
The SEC adopts rule and form amendments that require open-end management investment companies to transmit concise and visually engaging annual and semi-annual reports to shareholders ...
"Today’s proposed amendments to the Commission’s liquidity management and swing pricing rules resemble less a series of regulatory initiatives than an essay on Greek tragedy"
"I have other concerns, including the overlap between our amended investment company advertising rules and FINRA’s communications rules, but I think you get the point ...
"Shareholder reports will include a simplified expense presentation – a table showing the expenses associated with a hypothetical $10,000 investment in the fund during the ...
"I support today’s amendments, although I agree with Commissioner Peirce that the Commission should address concerns regarding the disclosure requirements related to acquired fund fees ...