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SEC Proposes Liquidity Risk Management Rules for Open-End Funds, Westlaw Journal

October 29, 2015

In the second step of its five-part plan to enhance registered funds regulations, the SEC has proposed new requirements on portfolio liquidity, risk monitoring, and board oversight.

At an open meeting held on September 22, the Securities and Exchange Commission (SEC) unanimously approved a proposal that is designed to strengthen the management of liquidity risk by certain registered open-end investment companies, including mutual funds and ETFs.

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