In 2023, the Securities and Exchange Commission (the “SEC”) adopted amendments and issued guidance to modernize the rules governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act...more
7/3/2025
/ Amended Regulation ,
Beneficial Owner ,
Corporate Governance ,
Disclosure Requirements ,
Equity Securities ,
Filing Deadlines ,
Filing Requirements ,
Investment Funds ,
New Guidance ,
New Regulations ,
Schedule 13D ,
Schedule 13G ,
Securities Exchange Act of 1934 ,
Securities Regulation
The Securities and Exchange Commission (the “SEC”) recently adopted Rule 13f-2 and Form SHO under the Securities Exchange Act of 1934 (the “Exchange Act”), implementing provisions of the Dodd-Frank Wall Street Reform and...more
1/27/2025
/ Capital Markets ,
Disclosure Requirements ,
Dodd-Frank ,
EDGAR ,
ETFs ,
Investment Management ,
Regulation SHO ,
Regulatory Requirements ,
Reporting Requirements ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Regulation
On April 27, 2020, the Division of Investment Management (the “Division”) of the Securities and Exchange Commission (the “SEC”) posted a question and answer on its Coronavirus (COVID-19) Response FAQs web page which provides...more