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ETF Rule Published in Federal Register: Effective and Compliance Dates Set

USA - October 23 2019 On October 24, 2019, Rule 6c-11 (the “ETF Rule”) under the Investment Company Act of 1940 (the “1940 Act”) will be published in the Federal Register...

Uri S. Segelman.

SEC Adopts Long Awaited ETF Rule to Modernize ETF Regulation

USA - September 30 2019 On September 25, 2019, the U.S. Securities and Exchange Commission (the “Commission” or “SEC”) approved Rule 6c-11 under the Investment Company Act of...

Stacy L. Fuller, Franklin H. Na, Alyssa B. Sherman.

SEC Delays Certain Liquidity Rule Requirements and Issues Guidance Regarding Illiquid Security Determinations

USA - April 10 2018 On February 22, 2018, the Securities and Exchange Commission (“SEC”) adopted an interim rule (“Interim Rule”) that revised compliance dates for...

Fatima S. Sulaiman, Timothy A. Bekkers, Michael M. Hart-Slattery.

SEC Proposes Rule Changes to Public Liquidity Risk Management Disclosures

USA - April 10 2018 On March 14, 2018, the Securities and Exchange Commission (“SEC”) proposed amendments to public liquidity-related disclosure requirements mandated by...

Fatima S. Sulaiman, Timothy A. Bekkers, Michael M. Hart-Slattery.

Division of Investment Management Issues Second Round of FAQs on Liquidity Risk Management Programs

USA - April 10 2018 On February 21, 2018, the Securities and Exchange Commission’s (“SEC”) Division of Investment Management (the “Division”) issued additional guidance...

Fatima S. Sulaiman, Timothy A. Bekkers, Michael M. Hart-Slattery.