On May 5, 2023, the U.S. Securities & Exchange Commission filed its first enforcement complaint under Rule 22e-4 of the Investment Company Act of 1940, 17 C.F.R. § 270.22e-4 (the Liquidity Rule). The complaint was brought...more
5/11/2023
/ Enforcement Actions ,
Investment Adviser ,
Investment Company Act of 1940 ,
Investment Funds ,
Liquidity ,
Liquidity Risk Management Rule ,
Open-Ended Fund Companies (OFCs) ,
Reporting Requirements ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
Securities Violations
The Securities and Exchange Commission (SEC) recently adopted, in a 3-2 vote, rule and form amendments impacting proxy disclosures reporting on Form N-PX (the “amendments”).
The amendments that are applicable to mutual...more
11/14/2022
/ Corporate Governance ,
ETFs ,
Executive Compensation ,
Investment Companies ,
Investment Company Act of 1940 ,
Investment Funds ,
Proxy Season ,
Proxy Statements ,
Proxy Voting ,
Required Forms ,
Say-on-Pay ,
Securities and Exchange Commission (SEC)
On October 28, the Securities and Exchange Commission (the “SEC”) adopted Rule 18f-4 (the “Rule”) under the Investment Company Act of 1940 (the “1940 Act”) and amended related rules designed to provide a modernized,...more
11/25/2020
/ Amended Rules ,
Broker-Dealer ,
Derivatives ,
Exceptions ,
Internal Reporting ,
Investment Adviser ,
Investment Company Act of 1940 ,
Investment Funds ,
Investors ,
Mutual Funds ,
New Regulations ,
Policies and Procedures ,
Popular ,
Recordkeeping Requirements ,
Registered Funds ,
Reporting Requirements ,
Repurchase Agreements ,
Risk Assessment ,
Risk Management ,
Rule 18f-4 ,
Rule 6c-11 ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Securities Transactions ,
Stress Tests