On November 2, 2022, the US Securities and Exchange Commission (SEC), by a 3-2 party line vote, proposed amendments (the Proposal) to the liquidity risk management programs rule (Rule 22e-4) under the Investment Company Act...more
The US Securities and Exchange Commission on August 5 proposed a new disclosure framework for mutual and exchange-traded funds that seeks to replace the current disclosure delivery frameworkâfor annual prospectus updates and...more
In the second step of its five-part plan to enhance registered funds regulations, the SEC has proposed new requirements on portfolio liquidity, risk monitoring, and board oversight.
At an open meeting held on September...more
9/28/2015
/ Comment Period ,
Disclosure Requirements ,
ETFs ,
Investment Company Act of 1940 ,
Liquidity Risk Management Rule ,
Mary Jo White ,
Mutual Funds ,
New Regulations ,
Proposed Regulation ,
Registered Funds ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Share Redemption ,
Shareholders ,
Swing Pricing