On March 13, 2020, the staff of the Securities and Exchange Commission (“SEC”) issued an exemptive order providing relief from certain provisions of the Investment Company Act of 1940, as amended (the “1940 Act”), to...more
3/17/2020
/ Coronavirus/COVID-19 ,
Corporate Governance ,
Disclosure Requirements ,
Emergency Response ,
Exemptive Relief ,
Filing Requirements ,
Investment Adviser ,
Investment Company Act of 1940 ,
Investment Funds ,
Notice Requirements ,
Prospectus ,
Securities and Exchange Commission (SEC) ,
Virtual Meetings
On November 25, 2019, the U.S. Securities and Exchange Commission (the “SEC” or the “Commission”) re-proposed a new exemptive rule under the Investment Company Act of 1940, as amended (the “1940 Act”)—Rule 18f-4 (the...more
12/23/2019
/ Broker-Dealer ,
Business Development Companies ,
Derivatives ,
ETFs ,
Exemptive Orders ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Investment Companies ,
Investment Company Act of 1940 ,
Investment Fund Vehicles ,
Investment Funds ,
Investment Management ,
Proposed Rules ,
Public Comment ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
Investment advisers registered with the U.S. Securities and Exchange Commission (“SEC”) or with a state (“Advisers”) as well as commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) registered with the...more
2/16/2018
/ Commodity Trading Advisors (CTAs) ,
CPOs ,
Data Collection ,
Disclosure Requirements ,
FATCA ,
FBAR ,
Filing Deadlines ,
Filing Requirements ,
Financial Institutions ,
FinCEN ,
Foreign Direct Investment ,
Foreign Financial Accounts ,
Form ADV ,
Investment Adviser ,
Private Funds ,
Registration ,
Securities and Exchange Commission (SEC) ,
U.S. Treasury