Comment Letters

February 15, 2023

On February 14, 2023, the Forum filed a comment letter with the SEC on the Commission's rule proposal regarding swing pricing and liquidity risk management for open-end mutual funds.

August 23, 2022

On August 16, 2022, the Forum filed a comment letter with the SEC on the Commission's rule proposal regarding certain terms used in fund names.

August 23, 2022

On August 16, 2022, the Forum submitted a comment letter to the SEC responding to rule proposals regarding disclosures by investment advisers and investment companies with respect to their use of ESG factors in their investment activities.

April 15, 2022

On April 11, 2022, the Forum submitted a comment letter in response to the SEC's rule proposals regarding cybersecurity risk management programs.

April 15, 2022

On April 11, 2022, the Forum submitted a comment letter in response to the SEC's rule proposals regarding money market fund reforms.

April 5, 2022

On June 12, 2019, the Forum submitted a comment letter in response to the SEC’s rule proposal regarding securities offering reform for closed end investment companies.

December 14, 2021

On December 14, 2021, the Forum submitted a comment letter to the SEC in response to the rule proposals regarding Enhanced Reporting of Proxy Votes.

January 4, 2021

On January 4, 2021, the Forum submitted a comment letter in response to the SEC’s recent rule proposals regarding Tailored Shareholder Reports.

July 21, 2020

On July 21, 2020, the Forum submitted a comment letter in response to the SEC’s recent rule proposal regarding the good faith determination of fair value.

April 9, 2020

On April 9, 2020, the Forum submitted a comment letter in response to the SEC’s rule proposal use of derivatives by Registered Investment Companies and Business Development Companies.

May 2, 2019

On May 2, 2019, the Forum submitted a comment letter in response to the SEC’s proposal to govern fund-of-funds relationships by rule rather than through the exemptive process.

October 3, 2018

On October 1, 2018, the Forum submitted a comment letter in response to the Commission's rule proposal permitting ETFs that satisfy certain conditions to operate without the expense or delay of obtaining an exemptive order.

July 12, 2018

On July 9, 2018, the Forum submitted a comment letter in response to the Commission's rule proposals regarding Auditor Independence with Respect to Certain Loans or Debtor-Creditor Relationships. In the letter, the Forum supporting the Commission's revised approach to auditor independence with respect to the loan provision.

May 18, 2018

On May 18, 2018, the Forum submitted a comment letter in response to the Commission's rule proposals regarding Investment Company Liquidity Disclosure.

June 23, 2017

February 28, 2017

September 6, 2016

May 24, 2016

April 28, 2016

March 29, 2016