Mutual Funds

This rule layouts guidance for fund advertising

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 ...

The proposed amendments are designed to improve liquidity risk management programs to better prepare funds for stressed conditions and improve transparency in liquidity classifications

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 ...

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”

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 ...

"Requiring every fund to disclose its votes implicitly pressures funds to vote, even when voting is not in their best interest"

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