Carl Ayers
Murphy’s law was on full display again. An adviser in Jacksonville, Fla., revved up its generator hours before the full brunt of Hurricane Matthew was ...
Securities lending, repurchase agreements, counterparties, derivatives, assets/liabilities, outflows, holdings – even if a fund’s CCO has changed since the last report – are among the ...
The third and final new SEC rule targeting mutual funds gives fund advisers an option when redemptions spark trouble. The Investment Company Swing Pricing ...
Valuing “complex and illiquid securities” can be tough enough. To find that a third-party’s product designed to help you with such valuations was flawed would ...
The next deadline to comply with the CFTC’s swaps margin rules is March 1, 2017, when larger financial firms will be subject to the regulator’s ...
Form the SEC has created for open-end mutual funds to report their liquidity status to the agency.
Form N-PORT is to be used by a registered management investment company, or an exchange-traded fund organized as a unit investment trust, or series thereof ...
Form N-CEN is to be used by all registered investment companies, other than face-amount certificate companies, to file annual reports with the Commission. Such reports ...
The Proposed Rule defines key terms for purposes of applying the CEA’s swap provisions to cross-border transactions and addresses the cross-border application of the registration ...