Filtered FORsights for Your Topic

Check out the SEC’s proposal that would significantly change liquidity risk management and mandate swing pricing for open-end management investment companies.

An SEC final rule enhances the information mutual funds, ETFs, and other registered management investment companies report annually on proxy votes.

On October 26, 2022, the SEC issued a proposal seeking feedback on new minimum due diligence and monitoring requirements for investment advisers who outsource certain covered services.

Brush up on an SEC final rule with comprehensive changes to the mutual fund and ETF disclosure framework.

Brush up on new Rule 10D-1, which address standards for exchange-listed companies for the recovery of erroneously awarded compensation to executive officers.  

Brush up on the SEC’s final rule modernizing broker-dealer electronic record-keeping requirements.

On October 7, 2022, the SEC reopened the comment period for twelve recently issued proposals due to a technical glitch in its internet comment form. 

This article offers insights on SEC Acting Chief Accountant’s recent statement on “The Auditor’s Responsibility for Fraud Detection.” Read on for insights.

This paper provides an overview of key proposals and final rules issued by the SEC from July to September 22, 2022, along with updates on outstanding proposals.

Brush up on the SEC’s final rule creating a new regulatory framework for derivatives use by registered investment companies.