On December 18, 2019, the Securities and Exchange Commission (SEC) voted to propose amendments to the definition of “accredited investor” in Rule 501(a) of Regulation D (Reg D) under the Securities Act of 1933 (Securities...more
1/2/2020
/ Accredited Investors ,
Comment Period ,
Financial Regulatory Reform ,
Investment Management ,
Proposed Amendments ,
Public Comment ,
Qualified Institutional Buyers ,
Regulation D ,
Rule 144A ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Regulation
The Securities and Exchange Commission (SEC) recently adopted Rule 6c-11 under the Investment Company Act of 1940 (the “Act”), which removes the need for most exchange-traded fund (ETF) sponsors to obtain individual exemptive...more
10/18/2019
/ Amended Rules ,
Compliance ,
Exchange-Traded Products ,
Exemptive Orders ,
Final Rules ,
Form N-1A ,
Investment Company Act of 1940 ,
Policies and Procedures ,
Portfolio Managers ,
Proposed Rules ,
Rule 6c-11 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act