Mutual Funds

The SEC’s revised approach to liquidity risk management gives advisers extra time to describe their programs, which will now only need to be a narrative ...

In the three months since SEC commissioners voted 3-2 to propose a backtrack on planned mutual fund adviser risk management reporting no minds changed (IA ...

The Securities and Exchange Commission (“Commission”) is adopting amendments to its forms designed to improve the reporting and disclosure of liquidity information by registered open-end ...

Contrast the fanfare the SEC trumpeted when it announced its mutual fund share class initiative in February with the whimper the agency blurted out when ...

One view holds that the complex and costly Volcker rule must be changed to more easily permit hedging and market making. The second view fears ...

First FINRA created the ability of a broker to stop a money transfer if it suspects senior fraud (BD Watch, Jan. 4, 2018). Now the ...

The Securities and Exchange Commission is adopting new rule 30e-3 under the Investment Company Act of 1940. Subject to conditions, new rule 30e-3 will provide ...

The Securities and Exchange Commission (“Commission”) is seeking public comment from individual investors and other interested parties on enhancing disclosures by mutual funds, exchange-traded funds ...

With clear signs that the SEC will reverse itself on its mutual fund liquidity disclosure rule (IA Watch, May 24, 2018), predictions are also being ...

Asked whether investment advisers should consider the SEC Enforcement Division’s offer to self-report share class allocation issues in exchange for no penalties, Stephanie Monaco recalls ...