Category: MSAC Reports

MSAC Report – June 5, 2020

PDF Report Hello, Earlier today, STA held a Zoom meeting with Robert Cook; Bob Colby; Tom Gira and Greg Dean of FINRA. Attached are the Talking Points and below are notes on the main topics discussed. Thank you, to those who contributed. Please do not hesitate to contact STA directly with any questions. Additionally, Hester…  Read more

MSAC Report May 28, 2020

PDF Report Good morning, We have three (3) items for your attention. SEC Asset Management Advisory Committee, “AMAC” On May 27, the SEC AMAC held a meeting that included two panels on the impact of COVID-19 to the asset management industry and updates from its newly formed Private Investments Subcommittee and ESG Subcommittee. Meaningful data…  Read more

MSAC Report – May 18, 2020

PDF Report Hello and Happy Monday, Late last Friday, The Federal Reserve Board published it fourth Financial Stability Report . These regular reports began in November 2018 and present the FED’s current assessment of the resilience of the U.S. financial system and views on near risks. The content is always organized under four categories; Asset…  Read more

MSAC Report – April 27, 2020

PDF Report Hello MSAC,  We hope you and your families are all safe and well.  We have three (3) items for your attention.  FAQs on Fair Access Rule Earlier today the SEC published FAQs on the Fair Access Rule, a provision under Reg ATS. Among the ten (10) responses is guidance on the Rule’s application and…  Read more

MSAC Report – March 26, 2020

PDF Report Good morning, We have several updates for your attention. Help on Reg BI would be greatly appreciated. Once again, we hope you and all your families are safe & healthy. Extension of Rule 606 Last night, the SEC granted the FIF/STA request that certain Rule 606(a) and 606(b)(3) Compliance Deadlines be extended given…  Read more