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News & Resources: Flash Reports

Flash Reports
22 Aug, 2023

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.

Flash Reports
22 Dec, 2020

Use of Derivatives

The Securities and Exchange Commission (the “SEC”) adopted Rule 18f-4 (the “Rule”) under the Investment Company Act of 1940 (the “1940 Act”), including rule and form amendments, to provide an updated approach to the regulation of funds’ use of derivatives and certain other transactions.

Flash Reports
24 Nov, 2020

Temporary Changes to Document Retention Requirements

The SEC recently issued a statement temporarily amending certain SEC document retention requirements.

Flash Reports
28 Oct, 2020

Are your documents and website up to ADA standards?

Many funds are making the transition to adopt accessibility standards in their organizations to be ADA compliant and to better serve all types of stakeholders.

Flash Reports
03 Sep, 2020

New Proposed Rule to Affect EDGAR Filing System

The SEC proposed a new rule under Regulation S-T, Rule 15, which aims to make the EDGAR filing process more efficient, consistent, and reliable.

Flash Reports
11 Aug, 2020

Proposed Amendments to Reporting and Disclosure Requirements

The SEC proposed a new set of amendments to mutual fund and exchange-traded fund disclosure requirements.

Flash Reports
04 Aug, 2020

SEC Adopts Rule Amendments on Proxy Voting Process

The SEC adopted rule amendments issuing additional guidance on proxy voting responsibilities of investment advisers.

Flash Reports
14 Jul, 2020

SEC Proposes Changes to Form 13F

The SEC proposed amendments to Form 13F reporting. The changes would affect the filing threshold for institutional advisers and several other requirements.

Flash Reports
19 May, 2020

Final Rule: SEC to Modernize Closed-End Fund Requirements

On April 8, 2020, the SEC adopted a new final rule which will modernize closed end fund reporting requirements.

Flash Reports
17 Apr, 2020

New Final Rule: Summary Prospectus for Variable Annuities

New disclosures will provide investors essential information about a contract’s terms, benefits, and risks in a reader friendly presentation, much like the summary prospectuses already delivered by mutual funds.

Flash Reports
27 Mar, 2020

The SEC Issues Regulatory Relief Amid Form ID and Notarization Challenges

the SEC acknowledged in an announcement that it is aware of challenges with meeting certain requirements for initial access to the EDGAR filing system.