At an SEC Investor Advisory Committee meeting, regulators, academics and market participants examined (i) the disparity in growth between the private and public markets, (ii) oversight of investment advisers and related custody rules, and (iii) a recent rule proposal regarding open-end fund liquidity risk management and swing pricing.
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Members of the North American Securities Administrators Association voted to implement a Statement of Policy governing the use of electronic offering documents and the execution of documents with electronic signatures.