On September 20, 2023, the Securities and Exchange Commission (“SEC”) adopted amendments to Rule 35d-1[1] (the “Names Rule”) under the Investment Company Act of 1940, as amended (“1940 Act”), as well as amendments to certain...more
9/28/2023
/ Investment ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
New Amendments ,
New Rules ,
Publicly-Traded Companies ,
Recordkeeping Requirements ,
Registered Investment Advisors ,
Regulatory Reform ,
Regulatory Requirements ,
Reporting Requirements ,
Required Forms ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
On October 7, 2020, the Securities and Exchange Commission (“SEC”) adopted a new rule, Rule 12d1-4, designed to provide a consistent and comprehensive framework governing a registered fund’s ability to invest in another...more
10/20/2020
/ Amended Rules ,
Business Development Companies ,
ETFs ,
Final Rules ,
Form N-CEN ,
Fund of Funds ,
Investment Company Act of 1940 ,
Investment Management ,
Popular ,
Registered Funds ,
Regulatory Standards ,
Rule 12d1-4 ,
Securities and Exchange Commission (SEC)
In light of the continuing disruptions that the COVID-19 pandemic is inflicting on financial markets, the Securities and Exchange Commission (“SEC”) on March 23, 2020 issued a temporary exemptive order (the “Temporary...more
As the outbreak of COVID-19 has spread internationally, it has impacted almost every facet of life in the United States. Financial markets too have been severely impacted with extreme levels of volatility and, for most broad...more
3/16/2020
On September 26, 2019, the Securities and Exchange Commission (“SEC”) adopted a new rule to modernize the regulation of most exchange-traded funds (“ETFs”). Rule 6c-11 (the “Rule”) under the Investment Company Act of 1940, as...more
10/10/2019
/ Broker-Dealer ,
Compliance ,
ETFs ,
Exchange-Traded Products ,
Exemptive Orders ,
Final Rules ,
Financial Institutions ,
Form N-1A ,
Form N-CEN ,
Investment Company Act of 1940 ,
No-Action Relief ,
Open-Ended Fund Companies (OFCs) ,
Regulation M ,
Rule 6c-11 ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act