← Independent regulator rules (SEC/Fed/FDIC/SBA/FTC/NCUA/CPSC/FHFA/EEOC/NLRB)

Revision of Rule Concerning Holding Period and Disclosure Requirements for Members' and Employees' Investment Company Transactions

SEC · final-rule · Published 2004-04-20 · Effective 2004-05-20 · 69 FR 21057

Document

Document number
04-8890
Federal Register citation
69 FR 21057
CFR reference
17 CFR 200
Type
Rule
Action
Final rule.
Category
final-rule
Agency
US Securities and Exchange Commission
Publication date
2004-04-20
Effective date
2004-05-20
Docket
Release No. 34-49562

Abstract

The Securities and Exchange Commission is amending its rule covering member and employee securities transactions. The amended rule updates the definition of money market fund; removes the exception to the six-month holding period for shares of a unit investment trust having a term of less than six months; requires Commission members and employees to hold investment company shares for a minimum of 30 days before they are permitted to transfer those assets to another registered investment company within the same family of registered investment companies; and requires Commission members and employees to report every purchase or sale of investment company shares, other than money market fund shares.

Source

Authoritative
Federal Register document
Machine
JSON-LD · Markdown