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SEC Proposes New Rule Amendments for Money Market Funds

USA - January 3 2022 On December 15, 2021, by a 3-2 vote, the U.S. Securities and Exchange Commission proposed a new round of rule amendments intended to “improve the…

Jay G. Baris, Nathan J. Greene, Louisa Kiu, Laurin Blumenthal Kleiman, Douglas E. Mccormack

SEC Proposes Enhanced Proxy Voting Reports for Funds and Managers

USA - October 12 2021 On September 29, 2021, by a vote of 4-1, the U.S. Securities and Exchange Commission (SEC) proposed to expand the information that mutual funds…

Jay G. Baris, Nathan J. Greene, Holly J.Gregory, Katie Klaben

SEC Finalizes Framework for Registered Fund Valuation Practices

USA - December 16 2020 On December 3, the U.S. Securities and Exchange Commission adopted new Rule 2a-5 (New Rule 2a-5) addressing registered fund valuation practices and…

Jay G. Baris, Frank P. Bruno, Nathan J. Greene, Brian M. Kaplowitz, Laurin Blumenthal Kleiman, John A. Mackinnon, James C. Munsell

SEC Adopts Derivatives Rule for Registered Investment Companies

USA - November 19 2020 In an effort to modernize the regulatory framework to reflect the evolution of derivatives use and related investor protection concerns, a divided U…

Jay G. Baris, Nathan J. Greene, Laurin Blumenthal Kleiman, John A. Mackinnon, James C. Munsell, Michael S. Sackheim, Elizabeth M. Schubert

Rule for Fund of Funds Arrangements

USA - November 11 2020 On October 7, 2020, the U.S. Securities and Exchange Commission adopted new Rule 12d1-4 under the Investment Company Act of 1940 to consolidate…

Jay G. Baris, Frank P. Bruno, Brian M. Kaplowitz, Laurin Blumenthal Kleiman, John A. Mackinnon, Carla G. Teodoro