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New rule 2a-5 lays out certain requirements when quotes are lacking. These include to come up with, test and apply fair value methods and to ...
This statement updates the Division’s position of January 5, 2021, by extending the expiration date of the staff position from March 31, 2021 to March 31, ...
When "a market quotation for a portfolio security is not readily available or if the investment is not a security, the Act requires the fund to use ...
During the Relevant Cash Sweep Period, even though a money market fund that did not result in revenue sharing payments was always available to it, ...
At least part of the humor in the wallstreetbets derives from its denizens’ self-depreciating sense of being outsiders. The self-proclaimed “degenerates” in the Reddit chat ...
A call not to eliminate rule 30e-3 and the need to allow for e-delivery is heard
As rule 17f-2 assumes actual physical possession of underlying securities (i.e., the certificates)[6], you propose that the Funds cease providing the Loan Documents to their ...
The final rule also permits a fund’s board to designate a “valuation designee” to perform fair value determinations. The valuation designee can be the investment ...
Voya failed to disclose, in its Forms ADV the conflict of interest arising from its policy requiring that advisory clients pay upfront commissions for purchases ...
Other examples that examiners will look for include C-level support for a robust compliance program; a lack of double standard treatment for C-level staff and ...
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