The SEC’s Proposed Swing Pricing and Hard Close Rules
08/23/23 • 7 min
Listen here as Jay Baris, a partner in Sidley’s Investment Funds group, discusses the proposed “swing pricing” and “hard close” requirements and how they would ripple through the world of investment companies and financial intermediaries.
Listen here as Jay Baris, a partner in Sidley’s Investment Funds group, discusses the proposed “swing pricing” and “hard close” requirements and how they would ripple through the world of investment companies and financial intermediaries.
Previous Episode
The SEC’s Regulatory Agenda – What’s in Store for Funds and Advisers
Listen here as Jay Baris, a partner in Sidley’s Investment Funds group, discusses the SEC’s latest Rulemaking Agenda in 2022 which promises to be a rollercoaster ride for funds, their independent directors, investment advisers, and other service providers.
Next Episode
Service Providers as Investment Advisers
Tune into Mutual Fund Minute, as Jay Baris, a partner in Sidley’s Investment Funds group, looks at the growing interest in index-based investing by mutual funds and ETFs that has prompted the SEC to ask whether they should regulate index providers and other service providers as investment advisers. This episode looks at the implications for funds and investment advisers if they were go down this regulatory route.
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