W. John McGuire

Sep 5, 2024 | lexology.com | Laura Flores |Barry N. Hurwitz |W. John McGuire |Jonathan Nowakowski |John O’Brien |Kyle Sullivan | +1 more

The US Securities and Exchange Commission (SEC), by a 3-2 vote, recently adopted amendments to registered fund reporting requirements on Form N-PORT and Form N-CEN and provided guidance on open-end funds’ liquidity risk management programs. The amendments to Form N-PORT will increase both the frequency with which portfolio holdings information is filed and the public availability of such information.

Sep 5, 2024 | morganlewis.com | Laura Flores |Barry N. Hurwitz |W. John McGuire |Jonathan Nowakowski

The US Securities and Exchange Commission (SEC), by a 3-2 vote, recently adopted amendments to registered fund reporting requirements on Form N-PORT and Form N-CEN and provided guidance on open-end funds’ liquidity risk management programs. The amendments to Form N-PORT will increase both the frequency with which portfolio holdings information is filed and the public availability of such information.

Sep 29, 2023 | morganlewis.com | W. John McGuire

Partner John McGuire spoke with Ignites about the US Securities and Exchange Commission’s final amendment to its Names Rule, noting that automation will have a large role in the processes that asset managers develop to comply with the amended Names Rule. Fund managers might be so burdened by compliance with the amended rule that they choose to "dump" any terms that constantly are flagged, said John McGuire.

Sep 21, 2023 | morganlewis.com | W. John McGuire

Partner John McGuire spoke with Ignites about the US Securities and Exchange Commission’s final amendment to its Names Rule, noting that the approved reforms improve upon the agency’s initial proposal. Under the new requirements, if a fund does not meet a policy for 80% of the fund’s assets to align with descriptors in its investment strategies or categories in its name, that fund has 90 days to revert.

May 24, 2023 | morganlewis.com | W. John McGuire

Outside Publication May 24, 2023 Partner John McGuire authored a practice note for LexisNexis Practical Guidance covering exchange-traded funds (ETFs). John notes that like a traditional mutual fund, an ETF pools investors' money in a fund that invests in stocks, bonds, or other assets and in return each investor receives an interest in that investment pool.