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.

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
15 Dec, 2022

Amendments to Form 13F

The SEC recently adopted amendments to Form 13F, and the changes go into effect in less than a month, on January 3, 2023.

Flash Reports
12 Oct, 2022

Disclosure and iXBRL Tagging Requirements for Pay versus Performance

As part of the U.S. Securities and Exchange Commission’s Final Rule on Pay versus Performance, reporting companies are required to include certain additional language and tabular disclosures in Schedule 14A and Schedule 14C filings, using machine-readable interactive data files (iXBRL format) with compliance dates beginning for fiscal years ending on or after December 16, 2022.

Flash Reports
14 Jun, 2021

The SEC’s Recent Statements on Burgeoning Investments

As new disclosure protocols are finalized and existing ESG guidelines become more prominent, questions remain in some areas of regulation.

Flash Reports
20 May, 2021

The SEC’s Bitcoin Futures Warning for Mutual Funds

Market participants have pushed for cryptocurrency ETFs in recent years, with no sign the SEC will approve these products in the near future.

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.