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Are You Ready to Comply with the New SEC Marketing Rule?

Aug 25, 2022

Time is running out

With the upcoming deadline of the 4th November, 2022, the new SEC Marketing Rule requires firms to create composites around similarly managed portfolios for performance reference, even if...

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Physics, Aircraft Carriers, and Liquidity Buckets

Apr 17, 2018

At its March 14 open meeting, the SEC approved a proposal that while still mandating funds to use the SEC’s Form N-PORT to report liquidity classifications, commonly known as “buckets”, it would, among other...

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