Brian McGrady, Jr.

Dechert LLP

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SEC Adopts New Rules and Rule Amendments to Require Registered Open-End Investment Companies to Establish Liquidity Risk...

The U.S. Securities and Exchange Commission (SEC or Commission) has unanimously adopted new rules and rule amendments to require registered open-end investment companies (including exchange traded funds and exchange-traded...more

11/9/2016 / Disclosure Requirements , ETFs , Investment Companies , Liquidity Risk Management Rule , Money Market Funds , Reporting Requirements , Securities and Exchange Commission (SEC) , Swing Pricing

SEC Proposes Sweeping Changes to Liquidity Risk Management Practices Used by Mutual Funds and ETFs

The U.S. Securities and Exchange Commission (SEC or Commission) on September 22, 2015 proposed a rule that would require all registered open-end funds and open-end exchange-traded funds (ETFs), other than money market funds...more

10/9/2015 / Disclosure Requirements , ETFs , Liquidity Risk Management Rule , Mutual Funds , Reporting Requirements , Securities and Exchange Commission (SEC) , Swing Pricing

SEC Proposes New Liquidity Management Rules for Mutual Funds and ETFs

Recently, the U.S. Securities and Exchange Commission unanimously approved proposals that would require open-end funds, including mutual funds and exchange-traded funds, to comply with new liquidity management rules. The...more

9/25/2015 / Comment Period , Disclosure Requirements , ETFs , Exchange-Traded Products , Liquidity , Mutual Funds , Reporting Requirements , Risk Management , Securities and Exchange Commission (SEC) , Swing Pricing

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