The staff of the SEC’s Division of Investment Management (the Staff) has published FAQs regarding amended Rule 35d-1 under the Investment Company Act of 1940 (the Amended Names Rule). The new FAQs, published on January 8,...more
SEC Charges Trust Company with Operating Unregistered Investment Companies and Failing to Register Securities Offerings. On September 30, the Securities and Exchange Commission (SEC) announced it had settled charges with...more