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Securities and Exchange Commission (SEC) › New Guidance › Retail Investors

Eversheds Sutherland (US) LLP

SEC raises ceiling on closed-end funds’ investments in private funds

Eversheds Sutherland (US) LLP on

Recent policy initiatives and remarks from leaders of the US Securities and Exchange Commission (SEC) have created a changing landscape for retail access to the private markets. At a recent conference hosted by the Practising...more

Ropes & Gray LLP

SEC Drops 15% Limit in Private Funds for Retail Closed-End Funds

Ropes & Gray LLP on

Statements earlier this week by SEC Chairman Paul S. Atkins and by Division of Investment Management Director Natasha J. Greiner indicate that the SEC staff will no longer require retail closed-end funds to limit their...more

Faegre Drinker Biddle & Reath LLP

Rollover Recommendations – Do the SEC and DOL Requirements Align?

Faegre Drinker Biddle & Reath LLP on

The SEC and the DOL have separately issued guidance on rollover recommendations – however, a close examination indicates that the guidance by both agencies is very similar. The SEC’s guidance for broker-dealers is in...more

Goodwin

FDIC Requests Comments to Draft Principles for Climate-Related Financial Risk Management

Goodwin on

In This Issue. The Federal Deposit Insurance Corporation (FDIC) requested comments to draft principles for climate-related financial risk management; the U.S. Securities and Exchange Commission (SEC) published its 2022 exam...more

Sullivan & Worcester

SEC Publishes Sample Comments re: Stock Price Volatility

Sullivan & Worcester on

The SEC’s Division of Corporation Finance published an "illustrative letter" with sample comments that it may issue to companies seeking to raise capital in securities offerings amid market and price volatility. These will...more

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