SEC’s Gensler Seeks to Clarify Mutual Fund Swing Pricing Proposal
The Chairman suggested that the regulator might opt for liquidity fees instead of swing pricing for open-end funds and also...
Tag: open-end fund liquidity rule
Fund Advisers Reject SEC Aiding and Abetting Charges
The adviser for a mutual fund argues against alleged Liquidity Rule violations because the company was not responsible for the...
Swing Pricing Proposal on Shaky Ground as Bipartisan Opposition Solidifies
Of all the SEC proposals facing pushback, the swing pricing proposal for mutual funds is taking the most heat from...
SEC Charges Pinnacle Advisors With Liquidity Rule Violations
The SEC complaint says Pinnacle knowingly mispresented the liquidity of some assets to satisfy liquidity requirements.
SEC Extends Deadline for Open-End Fund Liquidity Classification
However, the deadlines for creating a liquidity risk management program and to limit illiquid investments to 15% of a fund’s portfolio remain unchanged: December 1, 2018, for larger...