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 December 3, 2020, the Securities and Exchange Commission (SEC) adopted new rule 2a-5 ("Rule 2a-5") under the Investment Company Act of 1940, as amended ("1940 Act") addressing valuation practices and the board of...more
12/15/2020
/ Fair Valuation ,
Fixed Income Investments ,
GAAP ,
Investment Company Act of 1940 ,
Money Market Funds ,
New Rules ,
No-Action Letters ,
Recordkeeping Requirements ,
Registered Investment Companies (RICs) ,
Securities and Exchange Commission (SEC) ,
Valuation
he U.S. Securities and Exchange Commission (the “SEC”) recently adopted new rules and rule and form amendments under the Investment Company Act of 1940 (the “1940 Act”) relating to, among other things, use of derivatives and...more
12/8/2020
/ Business Development Companies ,
Derivatives ,
ETFs ,
Exemptive Relief ,
Form N-CEN ,
Form N-PORT ,
Investment Company Act of 1940 ,
Investment Management ,
Leveraged Finance ,
New Rules ,
Reporting Requirements ,
Risk Management ,
Rule 18f-4 ,
Securities and Exchange Commission (SEC)