SEC Proposes Money Market Funds Reforms – Again
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December 21, 2021
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The SEC’s Division of Investment Management is terminating an exemptive order and withdrawing two no-action letters that were issued in March 2020 as part of the SEC’s response to the...
April 27, 2021
FSOC Meeting Focuses on Hedge Funds, Mutual Funds, Impact of Climate Change on Financial Stability
The Financial Stability Oversight Council’s (FSOC’s) first meeting of the year – and of the new Administration – focused on hedge funds, mutual funds, and climate change. Following a discussion...
April 09, 2021
SEC Requests Comment on Money Market Fund Report
The SEC is requesting public comment on potential reforms for money market funds that were discussed in a report by the President’s Working Group on Financial Markets (PWG). As previously...
February 10, 2021
SEC’s Investor Advisory Committee Adds New Members
The SEC’s Investor Advisory Committee (IAC) recently met to discuss corporate disclosure during COVID-19 and the implications of the pandemic for the upcoming proxy season. The IAC also announced the...
December 21, 2020
FSOC Expresses Concerns with Fund Leverage and Redemptions
Not surprisingly, the 2020 annual report of the Financial Stability Oversight Council (FSOC) looks at the risk to the U.S. financial system through the lens of the unprecedented economic turmoil...
December 09, 2020
SEC Amends Rules to Facilitate Electronic Submission of Filings
In a move strongly supported by the IAA, the SEC has taken two further actions acknowledging the widespread use of electronic signatures (e-signatures) and related technological developments, as well as...
November 18, 2020
SEC IM Director Dalia Blass Reflects on Division’s Work
In a recent speech, the SEC’s Division of Investment Management Director Dalia Blass reflected on the Division’s hard work and accomplishments throughout the year. She praised her staff’s hard work...
November 17, 2020