I. EXECUTIVE SUMMARY - On 7 October 2020, the Securities and Exchange Commission (the SEC) adopted new rule 12d1-4 (Rule 12d1-4) and related amendments under the Investment Company Act of 1940 (the 1940 Act) that it believes...more
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
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