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SEC final rule 33-9616

Coming Up: Recently Announced Money Market Reform

August 22, 2014 by admin

Friday, August 15, Michele Suriano (President of Castle Rock Investment Company) and I spoke with an industry insider and expert about the recently adopted SEC money market funds reforms. We covered the following key subjects:

  • Floating Net Asset Value
  • Redemption fees (discretionary and default)
  • Discretionary redemption restrictions
  • Disclosures to retirement plan participants
  • Definition of “retail” MMFs

Look for our blog post Tuesday about the reforms.

Do you have questions about what the “key subjects” even mean? Are you an expert with your own opinion about these reforms? Reach out to me at Katherine@CastleRockInvesting.com! We look forward to sharing more with you.

— Katherine Brown, Research Associate at Castle Rock Investment Company

Filed Under: Blog, Castle Rock Investment Company, Industry News, Katherine Brown, Legislation, Michele Suriano, SEC, Uncategorized Tagged With: Castle Rock Investment Company, Investment Company Act 1940, Katherine Brown, Michele Suriano, Money Market Fund Reform, SEC, SEC 33-9616 rule 2a-7, SEC final rule, SEC final rule 33-9616, SEC Proposed Rule Release No. 33-9408, SEC Rule 2a-7 Amendments

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Castle Rock Investment Company, formed in 2006, is an independent woman-owned SEC-registered investment adviser located in Castle Rock, Colorado. We specialize in individual financial plans and qualified service plans.

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