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Forum Comment Letter on Swing Pricing
On February 14, 2023, the Forum filed a comment letter with the SEC on the Commission's rule proposal …
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Federal Reserve Releases Report on Liquidity Tools for Open-End Funds
Federal Reserve Board staff offer their views in an article titled, “New Insights from N-CEN: Liquidity …
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2022 LSP Proposal
Investment Adviser Marketing Rule © 2022 Dechert LLP The SEC’s Swing Pricing and Liquidity …
- Webinar Archive: The SEC's Swing Pricing and Liquidity Proposal: What You Should Know
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MFDF Webinar: What You Need to Know About the SEC’s Swing Pricing Proposal
The SEC’s swing pricing proposal would mandate swing pricing for most open-end funds (excluding money …
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FSOC Releases 2022 Annual Report
The Financial Stability Oversight Council unanimously approved its 2022 annual report which makes specific …
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SEC Proposes New Rules for Open-End Funds
The SEC proposed new rules governing liquidity of open-end funds, including mandating swing pricing for …
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SEC Chair Gensler Delivers Remarks on Potential Areas for Market Structure Reforms
SEC Chair Gary Gensler delivered a speech detailing specific areas where market structure reforms could …
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SEC Agenda Eyes Index Providers; Fund Liquidity and Dilution; Money Funds
Chairman Gensler also restated his desire for money market reforms and a workable LIBOR replacement in …
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MFDF Webinar: Board Oversight of the Liquidity Risk Management Program
ACA Compliance Group’s Erik Olsen will discuss board oversight of funds’ liquidity risk management …
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ACA Liquidity Rule Survey Highlights Board Reporting Trends
The Forum will host a webinar with ACA Compliance in December to discuss the liquidity risk management …
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Outlook for 2020: Regulation, Market Pressures, Board Self-Reflection
Continued shift is the expectation for the fund governance landscape in 2020. In 2019, fund boards saw …
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Academics Find Misreporting on Bond Funds' Risky Assets Lead to Misclassification
A paper by a group of academics from Notre Dame university, Harvard Business School and the University …
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Boston Fed Staff Assesses Liquidity Risk in Bank Loan and High-Yield Funds
A recent note by Kenechukwu Anadu of the Federal Reserve Bank of Boston and Fang Cai of the Fed Board …
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U.K. Regulators under Fire as a Fund's Liquidity Woes Echo Third Avenue Fund Collapse
As U.S. mutual funds begin to comply with the requirements of the Liquidity Rule, U.K. regulators are …
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Moody's Report on ETFs' Liquidity Warns of Systemic Risk
A research report from Moody’s warns that despite rapid expansion in the ETF sector, extended bursts …
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ACA Compliance Releases Survey on Liquidity Rule Readiness
ACA Compliance recently conducted a survey of mutual fund/ETF complexes and investment advisers/sub-advisers …
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Reporting, Disclosure, Exemptive Relief Included in Liquidity Rule Amendments
In a highly charged 3-2 vote the SEC adopted amendments to Rule 22e-4 under the 1940 Act, responding …
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SEC to Consider ETF Proposal, Liquidity Rule Changes at Open Meeting
The SEC announced it will hold an open meeting on June 28, 2018 to consider several items, including …
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Academics Present Research on ETFs, Mutual Fund Portfolio Pumping, Liquidity Management
Attendees at a recent conference at the SEC heard the latest in academic research relating to the asset …