Tag Archives | 30e-3

Getting 30e-3 Wrong Again

Is Rule 30e-3 back? Could we, in the mutual fund industry, actually be poised to move to a (mostly) paperless distribution of shareholder reports? Not so fast, unfortunately. I am sure that we all remember our crazy mixed feelings when the SEC reporting modernization proposal first came out in May 2015: a bold proposal that would require […]

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The Big Trade-Off

In the middle of the recent fund disclosure modernization proposal from the SEC, there is something that seems out of place. The primary purpose of the proposal is to improve the data that the SEC collects for SEC purposes like systemic risk evaluation, examinations, informing rule-making, and evaluating industry trends. Yet included in the proposal […]

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