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)
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