Form 13F filers will need to file their first Form N-PX covering the period of July 1, 2023, to June 30, 2024, by August 31, 2024.
Rule 14Ad1 of the Securities Exchange Act of 1934 (Exchange Act), which was adopted by...more
On March 28, 2022, the US Securities and Exchange Commission (SEC) proposed rules (Proposing Release) that would require securities market participants that engage in dealer-like activities - such as a proprietary trading...more
As a major LIBOR transition milestone approaches, a Staff Statement provides key considerations for market participants regarding their obligations.
On December 7, 2021, the Staff of the Securities and Exchange...more
12/13/2021
/ Alternative Reference Rates Committee (ARRC) ,
Asset-Backed Securities ,
Broker-Dealer ,
Investment Adviser ,
Libor ,
Municipal Securities Issuers ,
Publicly-Traded Companies ,
Registered Investment Advisors ,
Regulation Best Interest ,
Regulatory Oversight ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act
Not too long ago, an investment manager looking to invest in a company might conduct due diligence, attend investor relation calls, peruse quarterly or annual filings, and consider standard ratios such as price to earnings...more
3/5/2020
/ California Consumer Privacy Act (CCPA) ,
Data Privacy ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
Financial Institutions ,
Financial Services Industry ,
General Data Protection Regulation (GDPR) ,
Investment Advisers Act of 1940 ,
MiFID ,
Regulation S-P ,
Risk Management ,
Risk Mitigation ,
Securities Exchange Act