On January 19, 2024, the Division of Investment Management staff at the Securities and Exchange Commission (SEC), released several responses to frequently asked questions (FAQs) related to the adoption of rules and form...more
1/25/2024
/ Division of Investment Management ,
EFTs ,
Investment Company Act of 1940 ,
Investment Management ,
Investors ,
Mutual Funds ,
New Guidance ,
Open-Ended Fund Companies (OFCs) ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Securities Regulation ,
Shareholder Proposals ,
Shareholders ,
XBRL Filing Requirements
On October 26, the U.S. Securities and Exchange Commission (SEC) adopted amendments to the existing disclosure framework for open-end funds (e.g., mutual funds and exchange-traded funds) intended to represent a comprehensive...more
Covering legal developments and regulatory news for funds, their advisers and industry participants through October of 2020. ...more
11/17/2020
/ Accredited Investors ,
Amended Regulation ,
Coronavirus/COVID-19 ,
Investment Management ,
OCIE ,
Proxy Voting ,
Retail Investors ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Securities Regulation ,
Shareholders