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SEC | RIN: 3235-AL61 | Publication ID: Fall 2016 |
Title: Investment Company Liquidity Risk Management Programs; Investment Company Swing Pricing | |
Abstract:
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. |
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Agency: Securities and Exchange Commission(SEC) | Priority: Substantive, Nonsignificant |
RIN Status: Previously published in the Unified Agenda | Agenda Stage of Rulemaking: Final Rule Stage |
Major: Yes | 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 |
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Timetable:
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Regulatory Flexibility Analysis Required: Yes | Government Levels Affected: None |
Small Entities Affected: Businesses | Federalism: No |
Included in the Regulatory Plan: No | |
RIN Information URL: www.sec.gov/rules/final/2016/33-10233.pdf; www.sec.gov/rules/proposed/2016/33-10234.pdf | |
RIN Data Printed in the FR: Yes | |
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 |