On August 28, 2024, the SEC, by a vote of three to two, adopted amendments (Amendments) to the current reporting requirements on Form N-PORT and Form N-CEN and provided guidance (Liquidity Rule Guidance) related to liquidity...more
8/30/2024
/ ETFs ,
Form N-CEN ,
Form N-PORT ,
Investment ,
Investment Company Act of 1940 ,
Investment Management ,
Liquidity ,
New Guidance ,
New Regulations ,
Regulatory Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)
The Securities and Exchange Commission recently adopted significant changes to Rule 35d-1 under the Investment Company Act of 1940 (Names Rule), as well as certain forms and disclosure requirements on September 20, 2023...more
12/6/2023
/ Derivatives ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Form N-PORT ,
Investment ,
Investment Adviser ,
Investment Company Act of 1940 ,
Investment Portfolios ,
Notice Requirements ,
NSMIA ,
Proposed Amendments ,
Recordkeeping Requirements ,
Securities and Exchange Commission (SEC)
The Securities and Exchange Commission on November 2, 2022 proposed significant revisions to its rules governing open-end investment company liquidity risk management and swing pricing. The proposal would also update related...more
11/4/2022
/ Disclosure Requirements ,
Form N-CEN ,
Form N-PORT ,
GAAP ,
Illiquid Assets ,
Investment ,
Investment Adviser ,
Liquidity ,
Liquidity Risk Management Rule ,
Money Market Funds ,
Policies and Procedures ,
Proposed Rules ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Swing Pricing
The Securities and Exchange Commission’s Division of Examinations (EXAMS) published its report on 2021 Examination Priorities on March 3, 2021. The 2021 Examination Priorities cover eight broad topics:
- The protection...more
3/30/2021
/ Anti-Money Laundering ,
Cybersecurity ,
Digital Assets ,
ETFs ,
FinTech ,
Form CRS ,
Investment ,
Investment Adviser ,
Investors ,
Regulation Best Interest ,
Retail Investors ,
Securities and Exchange Commission (SEC)
The staff of the Securities and Exchange Commission’s Division of Examinations (Staff) on February 26, 2021, published a Risk Alert (Risk Alert)1 regarding digital asset securities.2 The Risk Alert highlights observations...more
The U.S. Securities and Exchange Commission on December 3, 2020 adopted a long-anticipated rule for the fair valuation of fund investments. Rule 2a-5 under the Investment Company Act of 1940 (final rule or rule): defines...more