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December 20, 2024

Federal Government Shutdown and the SEC: What You Need to Know

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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December 5, 2024

SEC Staff Issues Guidance on Tailored Shareholder Reports

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs
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November 12, 2024

SEC Staff Issues Risk Alert Regarding Examination Process for Registered Funds

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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November 1, 2024

SEC Division of Examinations Releases its 2025 Examination Priorities

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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June 7, 2024

SEC Adopts Data Privacy Rule Amendments to Regulation S-P

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds
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May 16, 2024

SEC Settles Charges Against Adviser for Improperly Splitting Legal Fees

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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May 8, 2024

SEC Staff Publish New Registered Fund Statistics Report

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Mutual Funds
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April 18, 2024

SEC Releases Materials on T+1 Settlement Cycle Adoption in Advance of May Compliance Date

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds
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March 14, 2024

Seward & Kissel Advises Guinness Atkinson on the Submission of an Application to Offer ETF Share Classes of its Existing Mutual Funds

Investment Advisers, Mutual Funds, ETFs
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February 20, 2024

SEC Staff Issues FAQs On Tailored Shareholder Reports

Exchange-Traded Funds (ETFs), Closed-End Funds, Mutual Funds
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February 8, 2024

SEC Provides Guidance on Determining Investment Company Status in SPAC Rule Release

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds
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January 3, 2024

The ‘40 Act Blog Top 10 of 2023

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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December 12, 2023

SEC Issues Updated Fall 2023 Regulatory Agenda

Closed-End Funds, BDCs, Investment Advisers, Mutual Funds, ETFs
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November 6, 2023

SEC Staff Grants No-Action Relief Under Section 17 and Rule 17d-1 Thereunder Allowing Fund to Enter Transaction Agreement with New Adviser

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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October 26, 2023

SEC Division of Examinations Releases its 2024 Examination Priorities

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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October 18, 2023

SEC Settles Charges Against Ratings Agencies Relating to Alleged Recordkeeping Failures

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds, ETFs
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October 17, 2023

SEC Adopts Amendments to Beneficial Ownership Reporting Rules

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs
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October 10, 2023

SEC Settles Charges with Mutual Fund Adviser for ESG Related Violations

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs
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October 6, 2023

SEC Settles Charges with Mutual Fund Adviser for AML Related Violations

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs
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September 29, 2023

SEC Proposes Changes to EDGAR Filer Access and Account Management

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs
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September 25, 2023

SEC Adopts Amendments to the Fund “Names Rule”

Exchange-Traded Funds (ETFs), Investment Advisers, Mutual Funds
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August 24, 2023

SEC Settles Charges With Transfer Agent for Lost Securityholders

Regulatory Compliance & Enforcement Actions, Mutual Funds
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July 20, 2023

SEC Adopts Money Market Fund Reforms

Investment Advisers, Mutual Funds
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June 21, 2023

SEC Settles Charges with Registered Adviser for Disclosure and Policy and Procedure Violations

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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June 9, 2023

SEC Adopts Rules to Prevent Fraud and Undue Influence over CCOs in connection with Security-Based Swap Transactions

Investment Advisers, Mutual Funds
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May 17, 2023

SEC Staff Issue Risk Alert on LIBOR-Transition Preparedness for Investment Advisers and Investment Companies

Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds, ETFs
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May 9, 2023

SEC Charges Adviser and Fund Trustees in First Case Enforcing Liquidity Rule

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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April 11, 2023

SEC Settles Charges Against Investment Adviser for Improper Fixed Income Securities Trading

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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March 22, 2023

SEC Proposes New Cybersecurity Requirements for Certain Market Entities and Reopens Comment Period for Proposed Cybersecurity Rules for Registered Advisers and Funds

Business Development Companies, Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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March 21, 2023

SEC Proposes Amendments to Regulation S-P

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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March 6, 2023

SEC Settles Charges Against Investment Advisers for Alleged Breaches of Fiduciary Duties

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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February 15, 2023

SEC Division of Examinations Releases its 2023 Examination Priorities

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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February 10, 2023

SEC Releases Staff Bulletin on Differential Advisory Fee Waivers

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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February 6, 2023

SEC Settles Charges with Security Valuation Provider for Providing Misleading Disclosures About Its Valuation Methodologies

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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December 14, 2022

ISS Releases Annual Proxy Voting Guideline Updates

Exchange-Traded Funds (ETFs), Closed-End Funds, Investment Advisers, Mutual Funds
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December 6, 2022

SEC Charges Investment Adviser with ESG-Related Policy and Procedure Failures

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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December 1, 2022

SEC Adopts Amendments to Increase Proxy Voting Transparency

Exchange-Traded Funds (ETFs), Closed-End Funds, Investment Advisers, Mutual Funds
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November 30, 2022

SEC Seeks Special Master in Case Involving NAV Mismarking Scheme

Regulatory Compliance & Enforcement Actions, Mutual Funds
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November 18, 2022

SEC Adopts Amendments Relating to Shareholder Reports and Investment Company Advertisements

Exchange-Traded Funds (ETFs), Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds
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October 25, 2022

SEC Staff Denies No-Action Relief to Fund Requesting to Exclude Shareholder Proposal

Closed-End Funds, Mutual Funds
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September 30, 2022

SEC Settles Charges Against Investment Adviser for Failing to Implement Adequate Proxy Voting Policies and Procedures

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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September 23, 2022

Withdrawal of SEC Staff Guidance and Letters Related to Fund Fair Valuation Rule and Adviser Marketing Rule

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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September 22, 2022

FASB Issues Accounting Guidance on Fair Value Measurement of Equity Securities Subject to Contractual Sale Restrictions

Regulatory Compliance & Enforcement Actions, Mutual Funds
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August 25, 2022

SEC Publishes Accounting and Disclosure Information Bulletin Regarding SEC Yield for Funds that Invest in TIPS

Regulatory Compliance & Enforcement Actions, Mutual Funds
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August 4, 2022

IM Director Birdthistle Speech On Swing Pricing, LIBOR and MiFID/Broker-Dealer IA Relief

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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July 22, 2022

SEC Adopts Amendments to Proxy Voting Advice Rules

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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July 1, 2022

SEC Adopts Rule Amendments Requiring Electronic Filing of Certain Documents and Form Amendments to Modernize Form 13F

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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May 31, 2022

SEC Proposes Amendments to Fund “Names Rule” and Proposes Amendments Concerning ESG Investment Practices

Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds
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April 7, 2022

SEC Announces 2022 Examination Priorities

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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February 24, 2022

Financial Services Company Fined $100 Million and Agrees to Pursue Registration of its Crypto Lending Product

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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February 23, 2022

SEC Charges Founder of Registered Investment Adviser with Fraud

Regulatory Compliance & Enforcement Actions, Mutual Funds
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February 17, 2022

SEC Proposes Amendments to Modernize Rules Governing Beneficial Ownership Reporting

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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February 11, 2022

SEC Proposes Rules and Amendments to Enhance Cybersecurity Preparedness of Investment Advisers and Investment Companies

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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February 1, 2022

SEC Chair Gary Gensler Highlights Opportunities to Strengthen Cybersecurity Practices of Investment Companies and Advisers in Speech

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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December 17, 2021

SEC Proposes Amendments to Rule 10b5-1 and Enhanced Disclosures Relating to Rule 10b5-1 Trading Plans in Issuer Reports and Certain Section 16 Reporting Forms

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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November 23, 2021

SEC Proposes Rule to Increase Transparency for Securities Lending Transactions

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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November 8, 2021

SEC Proposes Amendments to Update Electronic Filing Requirements

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds, ETFs
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October 5, 2021

SEC Charges Former Executives of Registered Investment Adviser with Fraud

Regulatory Compliance & Enforcement Actions, Mutual Funds
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June 3, 2021

SEC and CFTC File Civil Complaints Against Fund Sponsor and its Portfolio Managers and Enter into Settlement Agreement with Chief Risk Officer on Related Allegations

Regulatory Compliance & Enforcement Actions, Mutual Funds
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May 20, 2021

SEC Issues Statement on Funds Investing in Bitcoin Futures

Closed-End Funds, Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds
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April 28, 2021

SEC Publishes New FAQ on Form N-CEN

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds
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April 6, 2021

SEC Withdraws and Modifies Certain Staff Letters in Light of Rule 18f-4

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds
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March 24, 2021

SEC Publishes New FAQ on Valuation Rule

Regulatory Compliance & Enforcement Actions, Mutual Funds, ETFs
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March 15, 2021

SEC Issues Statement on Investment Company Cross Trading Practices Potentially Impacted by the Valuation Rule

Regulatory Compliance & Enforcement Actions, Mutual Funds, ETFs
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March 8, 2021

SEC Releases FAQs on New Rules Establishing Updated Regulatory Framework for Fund Valuation Practices

Regulatory Compliance & Enforcement Actions, Mutual Funds, ETFs
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March 5, 2021

Mutual Fund Sponsor Receives Approval for First Mutual Fund to ETF Conversion

Mutual Funds, ETFs
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March 4, 2021

SEC Issues Statement on Insurance Product Fund Substitution Applications

Regulatory Compliance & Enforcement Actions, Mutual Funds
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March 4, 2021

SEC Releases Primer on Money Market Funds and The Repo Market

Regulatory Compliance & Enforcement Actions, Mutual Funds
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February 8, 2021

Independent Directors Council Submits Comment Letter on Federal Trade Commission’s Proposed Amendments to Premerger Notification Requirements

Regulatory Compliance & Enforcement Actions, Investment Advisers, Mutual Funds
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January 25, 2021

SEC Staff Grants No-Action Relief from Section 17(f) of the 1940 Act and Rule 17f-2 Thereunder with Respect to Self-Custody of Loan Interests

Regulatory Compliance & Enforcement Actions, Mutual Funds
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December 23, 2020

SEC Amends Rules to Facilitate Electronic Submission of Documents

Regulatory Compliance & Enforcement Actions, BDCs, Investment Advisers, Mutual Funds
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December 18, 2020

Pricing Service to Pay $8 Million to Settle SEC Charges

Regulatory Compliance & Enforcement Actions, Mutual Funds
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December 18, 2020

SEC’s Investment Management Division Issues Guidance on Funds’ Risk Disclosure Regarding Investments in Emerging Markets

Regulatory Compliance & Enforcement Actions, Mutual Funds
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December 17, 2020

SEC Adopts Rule to Modernize Fund Valuation Practices

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds
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November 20, 2020

Compliance and Effective Dates Set for Final Rule and Related Amendments for Fund-of-Funds Arrangements

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds
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November 18, 2020

SEC Adopts Modernized Regulatory Framework for Derivatives Use by Registered Investment Companies and Business Development Companies

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds
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October 29, 2020

SEC Staff’s Latest Dear CFO Letters Rescind or Modify Certain Existing Staff Positions and Express New Staff Positions

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds
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October 22, 2020

SEC Adopts Final Rule and Related Amendments for Fund-of-Funds Arrangements

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds
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October 9, 2020

SEC Reaches Settlement with Investment Adviser Regarding Recapture of Waived Fees and Reimbursed Expenses from Money Market Funds

Regulatory Compliance & Enforcement Actions, Mutual Funds
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August 7, 2020

SEC Proposes Modernizations to Fund Shareholder Reports and Disclosures

Regulatory Compliance & Enforcement Actions, Mutual Funds
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July 8, 2020

Registered Fund Adviser and Affiliate Censured and Fined for Violations of Section 12(d)(1)(A) (Fund of Funds Limitations) and Compliance Rules

Regulatory Compliance & Enforcement Actions, Mutual Funds
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June 26, 2020

Department of Labor Proposes Rule Affecting ESG Plan Investments

Regulatory Compliance & Enforcement Actions, Mutual Funds
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June 23, 2020

SEC Extends In-Person Meeting Relief for Fund Boards

Regulatory Compliance & Enforcement Actions, BDCs, Mutual Funds
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June 16, 2020

Federal Reserve Announces Updates to Secondary Market Corporate Credit Facility

Regulatory Compliance & Enforcement Actions, Mutual Funds
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June 4, 2020

SEC Staff Issues No-Action Letter for Funds Participating in TALF 2020

Regulatory Compliance & Enforcement Actions, Mutual Funds
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May 21, 2020

SEC Charges Three Former Audit Firm Partners for Exam Sharing Misconduct

Regulatory Compliance & Enforcement Actions, Mutual Funds
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May 4, 2020

SEC Fines Fund Adviser for Overvaluing its Securities and Misleading Performance Disclosures

Regulatory Compliance & Enforcement Actions, Mutual Funds
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April 24, 2020

SEC Adopts Rule Clarifying Fair Value Determinations

Regulatory Compliance & Enforcement Actions, Mutual Funds
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April 16, 2020

SEC’s Division of Investment Management Issues Statement on Importance of Delivering Timely and Material Information to Investment Company Investors

Regulatory Compliance & Enforcement Actions, Mutual Funds
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April 16, 2020

SEC’s Division of Investment Management Issues Information Update on Exemptive Application Hearing Requests

Investment Advisers, Mutual Funds
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April 1, 2020

SEC Staff Grants Temporary Relief to Support Open-End Funds

Regulatory Compliance & Enforcement Actions, Mutual Funds
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March 26, 2020

SEC Provides Revised Relief to Assist Registered Funds Affected by the Coronavirus

Regulatory Compliance & Enforcement Actions, Mutual Funds
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March 25, 2020

SEC Staff Grants Temporary Relief to Support Money Market Funds

Regulatory Compliance & Enforcement Actions, Mutual Funds
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March 25, 2020

Federal Reserve Opens Expanded Money Market Fund Liquidity Facility

Regulatory Compliance & Enforcement Actions, Mutual Funds
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March 19, 2020

Federal Reserve Creates Money Market Fund Liquidity Facility

Regulatory Compliance & Enforcement Actions, Mutual Funds
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March 9, 2020

SEC Requests Comment on Fund Names Rule; Seeks to Eliminate Misleading Fund Names

Regulatory Compliance & Enforcement Actions, Mutual Funds
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January 16, 2020

SEC Proposes to Modernize Auditor Independence Rules

Regulatory Compliance & Enforcement Actions, Mutual Funds
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