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Interpretive and Other Challenges to Liquidity Classification under the U.S. SEC’s New Liquidity Risk Management Rule*

USA - October 9 2017 Many fund complexes have begun to plan for the numerous liquidity management compliance and reporting requirements they will face under new Rule 22e-4…

Nicholas DiLorenzo, Brenden P.Carroll, Aaron D. Withrow

SEC Announces Share Class Selection Disclosure Initiative

USA - March 6 2018 The Division of Enforcement (Division) of the U.S. Securities and Exchange Commission (SEC) on February 12, 2018, announced a Share Class Selection…

James V. Catano, D. Brett Kohlhofer, Mark D. Perlow, Christine Ayako Schleppegrell

A Touch Of Class: Mutual Fund Share Class Developments (Part 1)

USA - June 11 2018 Over the past two years, the mutual fund distribution and share class landscape has experienced considerable changes in light of several regulatory…

James V. Catano, Erica Evans, Shayna Gilmore, Melissa O'Neill, Christine Ayako Schleppegrell

SEC Issues Proposed Rule Permitting Variable Annuity and Variable Life Insurance Contracts to Use Layered Disclosure

USA - November 14 2018 The U.S. Securities and Exchange Commission announced on October 30, 2018 that it had voted to issue a proposed rule and form amendments that would…

Robert A. Robertson, James V. Catano

SEC proposes amendments to investment company advertising rules affecting marketing of target date funds

USA - July 13 2010 The Securities and Exchange Commission ("SEC") on June 16, 2010 proposed amendments to investment company advertising rules that would impact how target date funds are marketed.

Joseph P. Kelly II