Posts tagged Investment Company Act of 1940.
SEC's Proposed Reporting Requirements
The U.S. Securities and Exchange Commission recently proposed rules under the Investment Company Act of 1940 and related regulations that would require certain funds, including Exchange-Traded Funds, to provide additional information to the SEC relating to, among other things, certain types of investments, liquidity, pricing, and risk metrics. This additional information will assist the SEC with assessing potential risks to investors and allow investors to better understand their exposure and risk factors. The proposal requires that the information be reported in a ...
Posted in: SEC
Tags: burr forman, Investment Company Act of 1940, SEC, SEC's Proposed Reporting Requirements, securities litigation, U.S. Securities and Exchange Commission
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