The Staff highlighted disclosure-related observations and issues identified during reviews of digital asset ETP filings.
On July 1, 2025, the Securities and Exchange Commission’s (SEC’s) Division of Corporation Finance...more
7/16/2025
/ Compliance ,
Corporate Governance ,
Cryptoassets ,
Digital Assets ,
Disclosure Requirements ,
Exchange-Traded Products ,
Financial Markets ,
Investment Companies ,
Policy Statement ,
Reporting Requirements ,
Risk Factors ,
Securities and Exchange Commission (SEC)
On August 23, 2023, the Securities and Exchange Commission (SEC) adopted a final rule package (each a Rule, and together, the Rules) that modifies the regulation of private fund advisers under the US Investment Advisers Act...more
8/29/2023
/ Compliance ,
Disclosure Requirements ,
Final Rules ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investors ,
Private Funds ,
Private Investment Funds ,
Proposed Rules ,
Registered Investment Advisors ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
Form 13F filers will need to file their first Form N-PX covering the period of July 1, 2023, to June 30, 2024, by August 31, 2024.
Rule 14Ad1 of the Securities Exchange Act of 1934 (Exchange Act), which was adopted by...more