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SEC RIN: 3235-AL61 Publication ID: Fall 2015 
Title: Open-End Liquidity Risk Management Programs; Swing Pricing 
Abstract:

The Commission proposed a new rule requiring open-end funds to adopt and implement liquidity management programs. The Division also is considering recommending that the Commission propose rule and form amendments to provide funds with additional tools to manage liquidity and enhance disclosure regarding fund liquidity and redemption practices.

 
Agency: Securities and Exchange Commission(SEC)  Priority: Substantive, Nonsignificant 
RIN Status: Previously published in the Unified Agenda Agenda Stage of Rulemaking: Proposed Rule Stage 
Major: Undetermined  Unfunded Mandates: No 
CFR Citation: 17 CFR 210    17 CFR 270    17 CFR 274   
Legal Authority: 15 U.S.C. 80a-37(a)    15 U.S.C. 80a-22(c)    15 U.S.C. 80a-31(a)    15 U.S.C. 77a et seq.    15 U.S.C. 77aaa et seq.    15 U.S.C. 78a et seq.    15 U.S.C 80a et seq.   
Legal Deadline:  None
Timetable:
Action Date FR Cite
NPRM  10/15/2015  80 FR 62274   
NPRM Comment Period End  01/13/2016 
Regulatory Flexibility Analysis Required: No  Government Levels Affected: None 
Federalism: No 
Included in the Regulatory Plan: No 
RIN Information URL: www.sec.gov/rules/proposed/2015/33-9922.pdf  
RIN Data Printed in the FR: No 
Agency Contact:
Sarah ten Siethoff
Division of Investment Management
Securities and Exchange Commission
100 F Street NE,
Washington, DC 20549
Phone:202 551-6729
Email: tensiethoffs@sec.gov