SEC Proposed Rule to Modernize, Extend Systemic Risk Reporting for Mutual Funds

Two new forms, Form N-Port and N-Cen, are at the heart of a new set of rules proposed by the SEC.

Paul Soltis, market manager in North America at Confluence, talks about the potential impact of the SEC’s newest set of proposed rules.

The push by regulators to increase transparency in the markets has been a driving factor in several new rules passed since the financial crisis. Specifically, it's been a constant goal of the rule makers to try and get as much information as possible from firms about their exposure levels.

A new wave of rules proposed by the US Securities and Exchange Commission (SEC) finds mutual funds in the crosshairs. The rules look to, "modernize and enhance the reporting and disclosure of information by

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