A new SEC Risk Alert reviews results of over 200 mutual funds and exchange-traded funds exams looking at impacts on retail investors.
November 12, 2021
In a 4-1 vote at Chair Gary Gensler’s first open meeting, the SEC proposed requiring institutional investment managers that are required to file Form 13F to report “say-on-pay” votes, which are non-binding shareholder votes related to corporate executive compensation.
October 05, 2021
SEC’s “Dear CFO” Letter Discusses Combined Financial Statements Under Custody Rule, Includes Updates to Reflect Fund Valuation, Derivatives Rules April 5, 2021 The Chief Accountant of the SEC’s Division...
May 04, 2021
SEC Staff Issues FAQ on Mutual Fund Calculation Methodologies for Securities Lending Reporting April 27, 2021 The staff of the SEC’s Division of Investment Management recently updated its FAQs...
April 27, 2021