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
The SEC Office of Investor Advocate has recommended disapproval of a proposed rule change of the New York Stock Exchange. In its proposed rulemaking, the NYSE would exempt certain early stage companies from having to obtain...more