On September 20, 2023, the US Securities and Exchange Commission (the “SEC”) voted, by a 4-1 vote, to adopt certain amendments (the “final rule” or the “amendments”) to Rule 35d-1 (the “Names Rule”) under the Investment...more
10/5/2023
/ Amended Rules ,
Compliance ,
Compliance Dates ,
Derivatives ,
Disclosure Requirements ,
Environmental Social & Governance (ESG) ,
Final Rules ,
Form N-PORT ,
Investment Company Act of 1940 ,
Investment Funds ,
Notice Requirements ,
Prospectus ,
Recordkeeping Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC)
On October 13, 2016, the U.S. Securities and Exchange Commission (Commission) unanimously adopted regulatory changes that require open-end funds, including traditional mutual funds and exchange-traded funds, to establish...more
11/17/2016
/ EFTs ,
Exchange-Traded Products ,
Form N-CEN ,
Investment Company Act of 1940 ,
Liquidity ,
Mutual Funds ,
Open-Ended Fund Companies (OFCs) ,
Recordkeeping Requirements ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Swing Pricing