Carolyn Exarhakis

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SEC Adopts Amendments to Shareholder Reports and Advertising Rules

On October 26, 2022, the US Securities and Exchange Commission (SEC) voted to adopt rule and form amendments (the “final rules”) related to (1) shareholder reports of mutual funds and exchange-traded funds (ETFs) registered...more

11/23/2022  /  Business Development Companies , ETFs , Form N-1A , Mutual Funds , Registered Investment Companies (RICs) , Retail Investors , Rule 30e-3 , SEC Advertising Rule , Securities and Exchange Commission (SEC)
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