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Learning from History: Statement On Open-End Fund Liquidity Risk Management Programs And Swing Pricing, SEC Commissioner Caroline A. Crenshaw, Nov. 2, 2022

<p><i>The Importance of Liquidity Risk Management Programs</i></p>
<p>Mutual funds, ETFs and other open-end funds have become primary investment vehicles for the retirement and savings accounts of U.S. families.</p>
Investment Company Federal Reserve Division Of Investment Management Division Of Economic Liquidity Risk Management Investment Company Act

Voting Obsession: Statement On Final Enhanced Reporting Of Proxy Votes By Registered Management Investment Companies - Reporting Of Executive Compensation Votes By Institutional Investment Managers, SEC Commissioner Hester M. Peirce, Nov. 2, 2022

<p><span>Thank you, Chair Gensler. Director Birdthistle, congratulations on such a remarkable team. So remarkable is the team that I want to take a moment to recognize an impressive achievement by the Division of Investment Management—four rulemakings between this week’s and last week’s open meetings. All of these rules are substantial. I cannot overstate what a feat the teams have accomplished in an extremely compressed time period. Rulewriters&rsqu...
Elad Roisman Counsel Office Risk Management Association Division Of Investment Management Division Of Economic Us Chamber

Statement On Enhanced Reporting Of Proxy Votes, SEC Commissioner Caroline A. Crenshaw, Nov. 2, 2022

<p><span>Commission rules often focus on corporate transparency and helping investors understand how their money – their ownership stake of U.S. companies – is used. Today’s rule does just that. When the Commission adopted Form N-PX in 2003, it stated that investors in mutual funds have a “fundamental right” to know how proxy votes are being cast on their behalf.</span><span> Today’s amendments build on ...
United States Division Of Investment Management Division Of Economic Investment Management Risk Analysis General Counsel

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