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The SEC and FINRA are taking liquidity risk management seriously — just in time for volatile markets and nervous investors.
Better liquidity risk management amid volatile markets has become the new byword for regulators. The SEC is trying to rein in liquidity issues for mutual funds and exchange traded funds (ETFs) while independent regulator the Financial Industry Regulatory Authority is targeting liquidity problems for broker-dealers, even citing the liquidity risks that “played a large role...
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