SEC Chair Tells Congress which Asset Management Rules will be Finalized in 2016

June 22, 2016

Chair White expects the SEC to finalize this year its proposed rules on amendments to Part 1A of Form ADV; modernized registered investment company reporting requirements; liquidity management programs for mutual funds and ETFs; and the use of derivatives by registered investment companies and business development companies. The Chair reported that a proposed rule requiring investment advisers to create and maintain transition plans to prepare for a major disruption in their business will be issued “soon.”

 

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SEC Chair Tells Congress which Asset Management Rules will be Finalized in 2016

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