Get a complete breakdown of the SEC’s proposed revisions to Rule 17a-7 under the Investment Company Act. This course details the new eligibility criteria for cross trading—including the addition of level 2 securities—modernized pricing protocols, and enhanced oversight mechanisms. You’ll gain actionable insights on updated reporting, recordkeeping, and board governance shifts, plus the real-world impacts on fund operations, compliance, and investor protection. Discover how these changes could affect your organization and what steps are required for compliance.
In this course you will learn the following:
* Understand the goals and rationale behind the proposed amendments to Rule 17a-7.
* Identify the expanded scope of securities eligible for cross trading.
* Explain the updated pricing methodologies and oversight mechanisms.
* Recognize new reporting and recordkeeping requirements.
* Appreciate the importance of public feedback and the potential for further changes before finalization.
* Assess the anticipated benefits, costs, and economic impacts of the proposed rule.
