Pursuant to Section 984 of the Dodd-Frank Act, the Securities and Exchange Commission (SEC) published for comment proposed Rule 10c-1 (Rule), which is meant to “increase transparency and efficiency” in the securities lending...more
On June 18, 2019, the Securities and Exchange Commission (“SEC”) adopted final amendments to Rule 2-01(c)(1)(ii)(A) of Regulation S-X (the “Loan Rule”) to clarify the analysis that must be conducted to determine whether an...more
7/9/2019
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Significant Influence Test