SEC Rule 22c-2

Duration: 60 Min.


The reporting requirements of Rule 22c-2 are finally here. They became effective on October 16, 2007. This new rule of the Securities and Exchange Commission, the SEC, requires plan intermediaries to provide, upon request, reports of summary trade activity, and participant-level trade activity within mutual fund accounts.

Rule 22c-2 provides fund companies with the power to enforce compliance of their redemption fee and market timing restrictions. It is expected that funds with rules in these areas will rely heavily upon these reports to monitor activity within plans to identify abusive trading practices. Relius Administration can now help you with this, this session will demonstrate the steps needed to comply with SEC Rule 22c-2.

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