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SEC Passes New Rule 12d1-4 Regarding Fund of Funds

USA - October 15 2020 On Oct. 7, 2020, the Securities and Exchange Commission (SEC) announced it had adopted a new Rule 12d1-4 under the Investment Company Act of 1940…

SEC proposes rule changes to mutual fund and exchange traded fund disclosures

USA - August 27 2020 On Aug. 5, 2020, the SEC proposed modifications to current rules and forms that would significantly change the disclosures required of mutual funds…

Richard M. Cutshall, Terrence O. Davis, Arthur Don, Steven M. Felsenstein, Nathan M. Iacovino

SEC Issues Relief for Investment Companies in Response to COVID-19

USA - May 29 2020 Due to the unprecedented Coronavirus Disease 2019 (COVID-19) pandemic, the Securities and Exchange Commission (SEC) has issued relief to investment…

Terrence O. Davis

SEC Issues Fair Value Proposal

USA - May 28 2020 On April 21, 2020, the Securities and Exchange Commission (SEC) issued its long-anticipated rule proposal regarding valuation practice for registered…

Terrence O. Davis