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
24 Mar, 2020

How and Why to File Form N-LIQUID

The fluctuating circumstances caused by the COVID-19 virus may affect funds’ liquidity, triggering some of the SEC’s liquidity risk management initiatives.

Flash Reports
20 Mar, 2020

COVID-19 UPDATE: SEC to Allow Virtual Board Meetings

The SEC is providing regulatory relief to those who are significantly affected by the pandemic. The SEC is allowing for virtual board meetings to take place.

Flash Reports
19 Mar, 2020

COVID-19 UPDATE: SEC Regulatory Relief Provisions for Filings

As COVID-19 outbreaks continue, the SEC is taking steps to provide relief to firms and funds through delays in form filing and document delivery obligations.

Flash Reports
18 Mar, 2020

COVID-19 UPDATE: How the SEC Continues Response Efforts

As efforts to contain the COVID-19 virus expand worldwide, the SEC is focused on maintaining a fair and orderly market and continuing its own operations.

News & Resources

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

How and Why to File Form N-LIQUID

COVID-19 UPDATE: SEC to Allow Virtual Board Meetings

COVID-19 UPDATE: SEC Regulatory Relief Provisions for Filings

COVID-19 UPDATE: How the SEC Continues Response Efforts

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