News & Resources

Whether you want to read the full article, or just get a quick overview that includes what it means for you, you’ll find the latest SEC-related news here.

Open-End Fund Liquidity Risk Management Programs, Swing Pricing, and Form N-PORT

On November 2, 2022, the SEC proposed amendments to improve liquidity risk management programs (“LRMP”) and utilize swing pricing for the adjustment of net asset values on a per share basis.

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Proposed Rule: EDGAR Filer Access and Account Management

On Wednesday, September 13, 2023, the Securities and Exchange Commission (the “SEC”) released a proposed rule on EDGAR Filer Access and Account Management (the “Proposed Rule”). This Proposed Rule will require firms that maintain EDGAR accounts to designate certain authorized individuals to serve as account administrators instead of allowing group company logins.

Enhanced Disclosures by Certain Investment Advisers and Investment Companies about Environmental, Social, and Governance Investment Practices

On May 25, 2022, the SEC proposed amendments requiring registered investment advisers, certain advisers exempt from registration, registered investment companies, and business development companies to provide additional disclosures regarding their environmental, social, and governance (“ESG”) practices.

Open-End Fund Liquidity Risk Management Programs, Swing Pricing, and Form N-PORT

On November 2, 2022, the SEC proposed amendments to improve liquidity risk management programs (“LRMP”) and utilize swing pricing for the adjustment of net asset values on a per share basis.

Investment Company Names

On May 25, 2022, the SEC proposed amendments to address certain categories of investment company names that are likely to mislead investors about an investment company’s investments and risks.

Form N-PX Amendments: What You Need to Know

the SEC adopted amendments to Form N-PX filings to make proxy voting disclosures more useful and informative for investors. This high-level overview of the changes, including who it affects, timing, and best practices, might be helpful as you prepare for the effective date.

Electronic Delivery Bill

On April 26, 2023, the House of Representatives – Financial Services Committee introduced a bill regarding the electronic delivery of certain disclosures.

General Filing Deadlines and SEC Calendar Holidays

General filing deadlines and the SEC’s Holiday Calendar.

Modernization of Beneficial Ownership Reporting

On February 10, 2022, the SEC proposed amendments to certain rules that govern beneficial ownership reporting. The amendments include revising filing deadlines for initial and amended reports filed on Schedules 13D and 13G, clarifying and affirming rules as applied to two or more persons that form a group under the Securities Exchange Act of 1934, and requiring submissions to be in XML format. 

Share Repurchase Disclosure Modernization for Listed Closed-End Funds

On May 3, 2023, the SEC adopted amendments to an issuer’s repurchase program and its share repurchases, requiring the filing of daily quantitative repurchase data either quarterly or semi-annually.

The SEC’s Draft Open-End Fund Taxonomy Guide: What You Need to Know

On May 4, 2023, the U.S. Securities and Exchange Commission shared a draft version of the Open-End Fund (OEF) taxonomy and taxonomy guide to provide additional guidance on this aspect of the Tailored Shareholder Reports (TSR) rule.

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