3235-AL61 201610 The Regulatory Plan and the Unified Agenda of Federal Regulatory and Deregulatory Actions 3235 Securities and Exchange Commission SEC Investment Company Liquidity Risk Management Programs; Investment Company Swing Pricing

The Commission adopted a new rule requiring open-end funds to adopt and implement liquidity management programs. The Commission also adopted rule amendments that permit open-end funds to use "swing pricing" and form amendments that enhance disclosure regarding fund liquidity and redemption practices. 

]]> Substantive, Nonsignificant Previously Published in The Unified Agenda Final Rule Stage Yes No 17 CFR 210 17 CFR 270 17 CFR 274 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. No NPRM 10/15/2015 80 FR 62274 NPRM Comment Period End 01/13/2016 Final Action 11/00/2016 Yes Businesses None No www.sec.gov/rules/final/2016/33-10233.pdf; www.sec.gov/rules/proposed/2016/33-10234.pdf Yes No Sarah ten Siethoff Division of Investment Management 3235 Securities and Exchange Commission SEC 202 551-6729 tensiethoffs@sec.gov 100 F Street NE, Washington DC 20549