Compliance | May 23rd, 2024 SEC Might Drop Swing Pricing from Mutual Fund Liquidity Proposal Instead, they would likely adopt liquidity fees, though Chair Gensler did not say so explicitly.
Compliance | September 26th, 2023 Mutual Fund Trustees Resist Aiding and Abetting Charges The SEC argues fund trustees assisted a mutual fund in dodging liquidity requirements by not acting to properly classify the...
Compliance | May 8th, 2023 SEC Accuses Fund Adviser of Violating Liquidity Requirements Pinnacle Advisors helped a mutual fund dodge SEC liquidity requirements for at least a year, the SEC charges.
Compliance | November 4th, 2022 SEC Considers Making Swing Pricing Mandatory for Open-Ended Mutual Funds If adopted, the new rule would require most open ended funds to keep at least 10% of their assets in...
Compliance | February 22nd, 2018 SEC Deadline for Open-End Fund Liquidity Classification is Extended However, the deadlines for creating a liquidity risk management program and to limit illiquid investments to 15% of a fund’s...