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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 ...
Business man counting out $1000 bills on his desk
In justifying the proposal, the SEC noted the COVID effect. "Overall, the market events in March 2020 show how liquidity can deteriorate rapidly and significantly”
Woman working at the airport
This is the SEC's new proposed Form N-PX from a 2022 proposed rule
One bright spot about the new SEC final rule that will force registered funds and institutional managers to report more about their proxy votes is ...
SEC Commissioner Hester Peirce
"Requiring every fund to disclose its votes implicitly pressures funds to vote, even when voting is not in their best interest"
This is the proposed change to Investment Company Act's books and records rule proposed by the SEC in Nov 2022
This is the SEC's proposed change to N-PORT reporting rules
This is the SEC's proposed revised liquidity risk management rule from November 2022
This is the SEC's proposed swing pricing rule for certain registered funds that the Commission approved in November 2022
This is the new Form N-PX that, under a new SEC final rule, mutual fund and ETFs advisers and certain institutional managers will have to ...

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