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Securities Exchange Act › Investment Funds › Reporting Requirements

The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange... more +
The Securities Exchance Act is a United States federal statute enacted in 1934 to govern the secondary securities trading market. In addition, the Securities Exchange Act established the Securities and Exchange Commission (SEC), which is the primary regulatory agency enforcing federal securities laws. less -
Ropes & Gray LLP

Ropes & Gray’s Investment Management Update July – August 2025

Ropes & Gray LLP on

The following summarizes recent legal developments of note affecting the investment management industry: On August 25, 2025, the U.S. Court of Appeals for the Fifth Circuit issued its decision regarding a challenge by...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Proposes To Raise Form 13F Reporting Threshold From $100 Million to $3.5 Billion

Skadden, Arps, Slate, Meagher & Flom LLP on

On July 10, 2020, the Securities and Exchange Commission (SEC) voted 3-1 to approve proposed rules that, among other things, would raise the Form 13F reporting threshold for institutional investment managers (managers) from...more

Blake, Cassels & Graydon LLP

One Size for All: Increased Private Placement Reporting Begins June 30

Blake, Cassels & Graydon LLP on

Effective June 30, 2016, issuers will have to report prospectus-exempt distributions that settle on or after that date in any Canadian jurisdiction using a new, harmonized Form 45-106F1 (New Form), with significantly...more

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