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Recent Stories

SEC Adopts Final Liquidity Risk Management and Related Rules with Changes

The SEC adopted its final liquidity risk management rule, along with related rules and amendments, on October 13. While the final rule has some significant changes from the proposed version – such as reducing the number of liquidity classifications from six to four – it will still have a significant effect on how mutual funds and other open-end management funds conduct business.
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Bill Loosening Advertising Prohibitions in Dire Straits

The U.S. House of Representatives last month passed a bill that would, among other things, ease the prohibition against use of testimonials and past specific recommendations in advertisements. But don’t make plans to change your marketing materials anytime soon. The chances of the Senate acting on the pending legislation, as well as the President signing it, in the remaining months of 2016 appear to be slim to none.
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