{"id":5703,"date":"2014-11-20T00:00:00","date_gmt":"2014-11-20T06:00:00","guid":{"rendered":"https:\/\/institutionalinvestorsecuritiesblog.blawgcloud.com\/2014\/11\/sec_working_on_mutual_fund_reg"},"modified":"2022-03-11T13:34:02","modified_gmt":"2022-03-11T19:34:02","slug":"sec-working-on-mutual-fund-reg","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/sec-working-on-mutual-fund-reg\/","title":{"rendered":"SEC Working on Mutual Fund Regulations, Conducts Dark Pool Probes, Enacts New Exchange Rules"},"content":{"rendered":"\n<p>The U.S. Securities and Exchange Commission is developing regulations that would make sure that mutual funds are liquid enough to satisfy client redemptions and money managers have a plan should a fund fail. Part of the regulator\u2019s strategy may include limiting how mutual funds are allowed to place in assets that are hard-to-sell and use derivatives to enhance returns. <\/p>\n<p><em>InvestmentNews <\/em>reports that according to a report issued by the International Monetary Fund last month, mutual funds\u2019 holdings of leveraged loans, junk bonds, and other assets that don\u2019t trade often had higher market and liquidity risks. The IMF said that this could \u201ccompromise\u201d financial stability unless the matter is dealt with. Mutual funds also have come under the Financial Stability Oversight Council\u2019s scrutiny.<\/p>\n<p>Per the SEC\u2019s agenda, regulators could propose new mutual fund rules in October of next year. Earlier this year, when Commission Chair Mary Jo White talked about an action plan that the agency was developing to enhance asset management oversight, she noted that the regulator intends to mandate that mutual fund investments provide more disclosures. The SEC has been seeking to gain greater insight into whether the asset management industry presents a risk to the financial system. <\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.investorlawyers.com\/blog\/sec-working-on-mutual-fund-reg\/\"  title=\"Continue Reading SEC Working on Mutual Fund Regulations, Conducts Dark Pool Probes, Enacts New Exchange Rules\" class=\"more-link\">Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>The U.S. Securities and Exchange Commission is developing regulations that would make sure that mutual funds are liquid enough to satisfy client redemptions and money managers have a plan should a fund fail. Part of the regulator\u2019s strategy may include limiting how mutual funds are allowed to place in assets that are hard-to-sell and use [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[4043,3799,3760,3761],"tags":[3440,2676,3010],"class_list":["post-5703","post","type-post","status-publish","format-standard","hentry","category-alternative-investments","category-mutual-funds","category-sec-enforcement","category-securities-and-exchange-commis","tag-alternative-trading-system","tag-dark-pools","tag-mutual-funds"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v27.4 - https:\/\/yoast.com\/product\/yoast-seo-wordpress\/ -->\n<title>SEC Working on Mutual Fund Regulations, Conducts Dark Pool Probes, Enacts New Exchange Rules &#8212; Investor Lawyers Blog &#8212; November 20, 2014<\/title>\n<meta name=\"description\" content=\"The U.S. Securities and Exchange Commission is developing regulations that would make sure that mutual funds are liquid enough to satisfy client &#8212; November 20, 2014\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.investorlawyers.com\/blog\/sec-working-on-mutual-fund-reg\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"SEC Working on Mutual Fund Regulations, Conducts Dark Pool Probes, Enacts New Exchange Rules &#8212; Investor Lawyers Blog &#8212; November 20, 2014\" \/>\n<meta name=\"twitter:description\" content=\"The U.S. Securities and Exchange Commission is developing regulations that would make sure that mutual funds are liquid enough to satisfy client &#8212; November 20, 2014\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Shepherd Smith Edwards &amp; Kantas, LLP\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"3 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"SEC Working on Mutual Fund Regulations, Conducts Dark Pool Probes, Enacts New Exchange Rules &#8212; 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