Articles

Results 1 to 5 of 7


SEC Reaffirms and Expands Prior No-Action Relief for Registered Funds and Business Development Companies Participating in TALF 2020

USA - June 10 2020 On May 27, 2020, the Securities and Exchange Commission’s (SEC) Division of Investment Management (Division) issued a no-action letter (the Letter)…

Veena K. Jain

SEC Proposes New Rule on Funds’ Valuation Practices

USA - April 29 2020 On April 21, 2020, the Securities and Exchange Commission (SEC) issued a proposal (the proposing release) to adopt Rule 2a-5 (the Proposed Rule)…

Kiara I. Covarrubias, Diana E. McCarthy, Andrew E. Seaberg

SEC Approves New ETF Listing Rules for Nasdaq, Cboe and NYSE Arca

USA - April 22 2020 In April 2020, the Securities and Exchange Commission (SEC) approved rule change proposals of the three primary listing exchanges for exchange-traded…

Veena K. Jain

SEC Grants Emergency Liquidity Relief to Mutual Funds in Light of COVID-19

USA - March 31 2020 On March 26, 2020, the Securities and Exchange Commission (SEC) issued No-Action Relief that allows an affiliated person of an open-ended investment…

Matthew L. Thompson

SEC Requests Industry Comments on Fund Names

USA - March 9 2020 On March 2, 2020, the Securities and Exchange Commission (SEC) issued a request for public comment from funds, investors and other market…

Veena K. Jain