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SEC Adopts Liquidity Risk Management Rules for Mutual Funds and Exchange-Traded Funds

USA - November 3 2016 On October 13, 2016, the Securities and Exchange Commission (SEC) voted to adopt Rule 22e-4, Rule 30b1-10 and Form N-LIQUID under the Investment...

Michael K. Hoffman, Kenneth E. Burdon, Thomas A. DeCapo.


SEC Proposes Rule Regarding the Use of Derivatives by Registered Investment Companies and Business Development Companies

USA - December 18 2015 On December 11, 2015, the Securities and Exchange Commission (SEC) voted to propose a new rule (the Proposed Rule) that significantly modifies the...

Michael K. Hoffman, Thomas A. DeCapo.


SEC proposes liquidity management rules for open-end and exchange-traded funds

USA - October 9 2015 On September 22, 2015, the Securities and Exchange Commission (SEC) voted to propose a new Rule 22e-4 under the Investment Company Act of 1940 (the...

Michael K. Hoffman, Kenneth E. Burdon, Thomas A. DeCapo.


The SEC proposes expanding reporting requirements for investment companies

USA - July 30 2015 On May 20, 2015, the Securities and Exchange Commission (the “SEC”) approved new proposed rules, forms and amendments that would expand the...

Michael K. Hoffman, John R. Stewart, Thomas A. DeCapo.