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SEC: Cross Trade Practice Feedback Sought from Industry


Monday, April 19, 2021
On March 11, 2021, the staff of the SEC’s Division of Investment Management issued a statement soliciting industry feedback on the regulatory regime governing registered fund cross trading following the adoption of the new valuation rule in December 2020. Fund cross trades must be effected in accordance with Rule 17a-7 under the Investment Company Act. Absent further SEC staff guidance or SEC action, however, Rule 17a-7 may no longer be available for cross trades in fixed income securities beginning in September 2022, as a result of the new valuation rule’s definition of “readily available market quotations.” 
Background
Funds engaging in cross trades with certain of their affiliates must do so in accordance with the conditions of Rule 17a-7. These conditions include, among others, that the trade be effected for “no consideration other than cash payment against prompt delivery of a security for which  ....

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Regulatory Update and Recent SEC Actions - April 2021 | Blank Rome LLP


REGULATORY UPDATES
SEC Leadership Changes
On April 14, 2021, the U.S. Senate voted to approve President Biden’s nomination of Gary Gensler as Chairman of the Securities and Exchange Commission (the “SEC”) through June 5, 2021. The vote came after the Senate Banking Committee endorsed Gensler’s nomination in March 2021. The confirmation only approves Gensler to serve the remainder of former SEC Chairman Jay Clayton’s term, though the Senate Banking Committee has cleared Gensler to serve another five-year term afterward. Gensler served as chairman of the U.S. Commodity Futures Trading Commission from 2009 to 2014, and helped to draft the Sarbanes-Oxley Act as senior advisor to U.S. Senator Paul Sarbanes. In a statement, the SEC’s four commissioners said they welcome Gensler “and look forward to working together to execute our vital mission.” ....

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