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February 21, 2022
On February 10, 2022, the Securities and Exchange Commission (the "SEC") proposed substantial amendments to the reporting regime for beneficial owners of greater than 5% in public companies.
February 18, 2022
On February 9, 2022, the U.S. Securities and Exchange Commission (the "SEC") proposed new rules and amendments to existing rules (the "Proposed Rules") under the U.S. Investment...
February 17, 2022
SEC proposed new rules and amendments to existing rules under the U.S. Investment Advisers Act of 1940, as amended that would have notable practical implications for private fund advisers, in many cases, regardless of the adviser's registration status.
February 17, 2022
SEC proposed new rules and amendments to existing rules under the U.S. Investment Advisers Act of 1940, as amended that would have notable practical implications for private fund advisers, in many cases, regardless of the adviser's registration status.
February 15, 2022
On February 9, 2022, the Securities and Exchange Commission ("SEC") proposed new rule 38a-2 ("Proposed Rule 38a-2") under the Investment Company Act of 1940, as amended ("1940 Act"),...
February 15, 2022
SEC Chairman has ramped up an aggressive regulatory agenda that zeroes in on advisers to private funds. The SEC commissioners approved several proposed rules under the Investment Advisers Act of 1940 which, if passed, would effect the operation of private funds.
February 15, 2022
US Securities and Exchange Commission (SEC) Chairman Gary Gensler has ramped up an aggressive regulatory agenda that zeroes in on advisers to private funds. On February 9, 2022, the SEC...
February 1, 2022
It's been almost 12 years since Dodd-Frank mandated, in Section 953(a), so-called pay-versus-performance disclosure, but amazingly, no rules have yet been adopted to implement that mandate.
January 13, 2022
On December 15, 2021, the Securities and Exchange Commission (the "SEC") voted 3-2 to propose amendments to Rule 2a-7 (the rule governing money market funds) and other rules
January 6, 2022
On December 15, 2021, the Securities and Exchange Commission (the "SEC") proposed amendments to Rule 10b5-1 that could have a significant impact on trading by individuals who have access to material nonpublic information ("MNPI")...