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SEC Proposes Mandated Swing Pricing, Hard Close and Fundamental Changes to Liquidity Rule

USA - November 3 2022 The Securities and Exchange Commission on November 2, 2022 proposed significant revisions to its rules governing open-end investment company…

Stephen T. Cohen, David P. Bartels, Stephanie A. Capistron, Stephen H. Bier, Julien Bourgeois, Douglas P. Dick, Allison M. Fumai, John V. O'Hanlon, Monica R. Patel, Mark D. Perlow, Morgan Willard, Aaron D. Withrow

SEC Adopts New Rules and Form Amendments Relating to Tailored Shareholder Reports and Fee Information in Registered Investment Company Advertisements

USA - October 28 2022 The Securities and Exchange Commission on October 26, 2022 unanimously adopted rule and form amendments for mutual funds and exchange-traded funds…

Stephen T. Cohen, Edwin Batista, James V. Catano, Megan C. Johnson, Robert Spiro, J.D. Williams

SEC Issues Proposed Rule Amendments Regarding Fund Naming Conventions

USA - July 6 2022 The U.S. Securities and Exchange Commission, by a vote of three-to-one, proposed for public comment on May 25, 2022, amendments to the rule governing…

Stephen T. Cohen, Nicholas DiLorenzo, Matthew E. Barsamian, Julien Bourgeois, James V. Catano, Philip T. Hinkle, Claire Hinshaw, Megan C. Johnson, Tyler H. Payne, Mark D. Perlow, Corey F. Rose, Anthony H. Zacharski

SEC Issues Rule Proposal Related to Certain Investment Advisers’ and Funds’ Disclosures About ESG Investment Practices

USA - June 29 2022 The Securities and Exchange Commission, by a vote of three-to-one, proposed for public comment on May 25, 2022, a long-anticipated framework…

Nicholas DiLorenzo, Julien Bourgeois, Mark D. Perlow, Morgan Willard, J.D. Williams, Anthony H. Zacharski

SEC Proposes Additional Disclosures by Certain Investment Advisers and Funds about ESG Investment Practices

USA - May 31 2022 On May 25, 2022, the U.S. Securities and Exchange Commission, by a vote of three-to-one, proposed for public comment a long-anticipated framework…

Nicholas DiLorenzo, Julien Bourgeois, Mark D. Perlow, Morgan Willard, J.D. Williams, Anthony H. Zacharski