I. INTRODUCTION AND SUMMARY - The Securities and Exchange Commission (SEC) has proposed a bold new approach to shareholder and investor communications by investment companies registered on Form N-1A under the Investment...more
8/21/2020
/ Advertising ,
Asset Management ,
Disclosure Requirements ,
ETFs ,
Fees ,
Investment Funds ,
Investment Management ,
Securities and Exchange Commission (SEC) ,
Shareholders ,
Statements of Additional Information (SAIs) ,
Transaction Fees
On April 8, 2020, the Securities and Exchange Commission (the “SEC”) adopted final rule and form amendments (the “Final Rules”) that modify the registration, offering, and communications processes currently used by registered...more
AGENDA -
- Liquidity Rule Implementation
- ETFs: Final Rule Update and Active NonTransparent ETF Developments
- Fund of Funds Rule Proposal
- Board Outreach and Fund Governance Update
- SEC Examination Update,...more