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Regulatory Update and Recent SEC Actions - January 2023 | Blank Rome LLP

REGULATORY UPDATES - Recent SEC Leadership Changes - The Securities and Exchange Commission (the “SEC”) announced that Megan Barbero, currently SEC. ....

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SEC Proposes Swing Pricing and a Hard Close for All Mutual Funds | K&L Gates LLP

Summary - On 2 November 2022, the U.S. Securities and Exchange Commission (SEC) voted 3-2 to propose amendments (proposed amendments) to Rule 22c-1 under the Investment Company Act of. ....

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SEC Proposes Mandatory Swing Pricing for Mutual Funds and Revised Liquidity Requirements

On November 2, 2022, the US Securities and Exchange Commission (SEC), by a 3-2 party line vote, proposed amendments (the Proposal) to the liquidity… ....

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SEC Proposes Open End Funds Adjust Liquidity Risk Management

The SEC proposes amendments to the Investment Company Act. This would include required swing pricing, required hard close, changes to fund liquidity risk management and Form NPORT Reporting Frequency. The comment period for the proposed amendments is 60 days after publication. ....

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SEC Proposes Mandated Swing Pricing, Hard Close and Fundamental Changes to Liquidity Rule | Dechert LLP

The Securities and Exchange Commission on November 2, 2022 proposed significant revisions to its rules governing open-end investment company liquidity risk management and swing pricing.. ....

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