Amendments to Form 13F
Amendments to Form 13F WHAT HAPPENED? The SEC recently adopted amendments to Form 13F, and the changes go into effective in less than a month, on January 3, 2023.What the revised [...]
The SEC’s Recent Statements on Burgeoning Investments
What’s Next for ESG Disclosures? The SEC’s Recent Statements on These Burgeoning Investments WHAT HAPPENED? Climate and environmental, social, and governance (ESG) topics continue to gain prevalence in capital [...]
The SEC’s Bitcoin Futures Warning for Mutual Funds
The SEC’s Bitcoin Futures Warning for Mutual Funds Last week, the SEC released a statement pertaining to funds investing in Bitcoin futures. Market participants have pushed for cryptocurrency ETFs in [...]
Temporary Changes to Document Retention Requirements
Temporary changes to document retention requirements The U.S. Securities and Exchange Commission recently issued a statement temporarily amending certain documentation requirements under Rule 302(b) of Regulation S-T. The changes come [...]
Are your documents and website up to ADA standards?
Are your documents and website up to ADA standards? The Americans with Disabilities Act of 1990 (ADA) lays out guidelines for how to make documents widely accessible and can be [...]
New Proposed Rule to Affect EDGAR Filing System
New Proposed Rule to Affect EDGAR Filing System WHAT HAPPENED? On Aug. 21, 2020, the United States Securities and Exchange Commission proposed a new rule under Regulation S-T, Rule [...]
Proposed Amendments to Reporting and Disclosure Requirements
Open-End Funds: Proposed Amendments to Reporting and Disclosure Requirements WHAT HAPPENED? On Aug. 5, 2020, the United States Securities and Exchange Commission proposed a new set of amendments to [...]
SEC Adopts Rule Amendments on Proxy Voting Process
SEC Adopts Rule Amendments, Issues Guidance on Proxy Voting Process WHAT HAPPENED? On July 22, 2020, the United States Securities and Exchange Commission adopted rule amendments and issued additional [...]
SEC Proposes Changes to Form 13F
SEC Proposes Changes to Form 13F WHAT HAPPENED? On July 10, 2020, the United States Securities and Exchange Commission proposed amendments to Form 13F reporting. The changes would affect the [...]
Final Rule: SEC to Modernize Closed-End Fund Requirements
New Final Rule: SEC to Modernize Closed-End Fund Requirements WHAT HAPPENED? On April 8, 2020, the United States Securities and Exchange Commission adopted a new final rule which will [...]
New Final Rule: Summary Prospectus for Variable Annuities
New Final Rule: Summary Prospectus for Variable Annuities WHAT HAPPENED? Recently, the Securities and Exchange Commission adopted a new final rule, 498A, and form amendments which intend to modernize [...]
The SEC Issues Regulatory Relief Amid Form ID and Notarization Challenges
The SEC Issues Regulatory Relief Amid Form ID and Notarization Challenges WHAT HAPPENED? On March 23, 2020, the SEC acknowledged in an announcement that it is aware of challenges [...]
SEC Issues Additional Relief Due to COVID-19 Obstacles
SEC Issues Additional Relief and Guidance as COVID-19 Creates Obstacles WHAT HAPPENED? In response to the unusual state of global securities infrastructures stemming from COVID-19, the SEC is continuing [...]
How and Why to File Form N-LIQUID
How and Why to File Form N-LIQUID WHAT HAPPENED? The ripple-effects of the COVID-19 pandemic continue to spread, causing overall market volatility and even market closings in some countries. [...]
COVID-19 UPDATE: SEC to Allow Virtual Board Meetings
COVID-19 UPDATE: SEC to Allow Virtual Board Meetings WHAT HAPPENED? In response to the international COVID-19 outbreak, the SEC is providing regulatory relief to those who are significantly affected [...]
COVID-19 UPDATE: SEC Regulatory Relief Provisions for Filings
COVID-19 UPDATE: A Breakdown of the SEC’s Regulatory Relief Provisions for Filings and Documentation ***UPDATE*** On March 23 and 25, 2020, the SEC released further extended dates for the [...]