SEC Adopts New Requirements for Registered Index|Linked ...

SEC Adopts New Marketing Rule for Investment Advisers

The Marketing Rule will become effective 60 days after publication in the Federal Register, with compliance required 18 months after the ...

What's in a Fund Name? SEC Approves Changes to the ... - K&L Gates

The Amendments expand the scope of terms under the Names Rule that would require a fund to adopt a policy to invest at least 80% of the fund's assets in the ...

SEC Proposes ESG Disclosure Requirements for Investment ...

The proposed rules, if adopted as proposed, would require information on the ESG factors that Advisers and Registered Funds consider in making ...

SEC Adopts Amendments to the Names Rule under the Investment ...

On September 20, 2023, the U.S. Securities and Exchange Commission (SEC) adopted amendments to Rule 35d‑1 (the “Names Rule”) under the ...

SEC Adopts Rule Amendments to Regulation S-P to Enhance ...

The amendments will become effective 60 days after publication in the Federal Register. Larger entities will have 18 months after the date of ...

SEC Adopts Long-Awaited "ETF Rule" | Paul Hastings LLP

With the adoption of the ETF Rule, new entrants that meet its conditions will no longer incur the costs associated with obtaining exemptive ...

SEC Adopts Modernized Regulatory Framework for Derivatives Use ...

The Commission adopted amendments to the reporting requirements for funds that will rely on the Rule, notably amendments to Forms N-PORT, N- ...

SEC Adopts Extensive New Rules for Investment Advisers to ...

Rule 206(4)-7 under the Advisers Act was amended to require an SEC-registered investment adviser to document in writing the annual reviews that are undertaken ...

SEC Adopts Rule Enhancements to Prevent Misleading or ...

The amendments require new N-PORT reporting items for registered management investment companies and exchange-traded funds organized as a ...

2024 SEC Outlook – Funds & Asset Managers - Forvis Mazars

requirements for registered index-linked annuities (RILAs). New details to be included on an updated Form N-4 would. Page 8. 8. 8 include RILA ...

SEC Adopts New Private Fund Adviser Rules | Insights

The quarterly statement, audit and adviser-led secondaries rules apply to registered private fund advisers only. The amended rule requiring ...

SEC Adopts Rule Amendments and Guidance Addressing Cross ...

The final rules will be effective April 6, 2020 (the Effective Date). The compliance date for registration of SBSDs will be 18 months thereafter ...

SEC Proposes Tailored Registration Form for RILAs

SEC Proposes Tailored Registration Form for Registered Index-Linked Annuities ... proposed disclosure requirements should, in the view of the SEC ...

SEC Adopts Controversial and Sweeping Changes to Private Fund ...

Documentation of Annual Compliance Reviews (Rule 206(4)-7(b)). All SEC-registered investment advisers will be required to review and document, ...

Exchange Act Reporting - Latham - Words Of Wisdom

The SEC has adopted new rules requiring companies to provide ... registered with the SEC that prepare their financial statements in ...

SEC Proposes New Rule Relating to Outsourcing of Services by ...

The US Securities and Exchange Commission recently proposed a new rule and rule amendments that, if adopted as proposed, would require registered investment ...

SEC Adopts Amendments to the Investment Company Names Rule

However, the SEC confirmed that the terms used in a market index referenced in a fund name, do not subject the fund to the 80% Policy, in ...

Take Notice: SEC Adopts New Requirements Under Regulation S-P

... requirements of the safeguards and disposal rules.1 The final rule requires registered investment advisers, registered and unregistered ...

SEC Releases New Guidance on Tailored Shareholder Reports

In October 2022, the SEC adopted amendments (Adopting Release) to rules under the Securities Act of 1933 and Investment Company Act of 1940 ...

SEC Adopts Significant Cybersecurity Amendments to Regulation S-P

These adopted rules are distinct from additional cybersecurity requirements that the SEC proposed for RIAs, registered funds and BDCs in ...