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April 29, 2024
Every year compliance officers face the unenviable job of performing their compliance program's annual review under Advisers Act Rule 206(4)-7). An essential element of that review is...
July 18, 2023
On May 3, 2023, the Securities and Exchange Commission (the “SEC”) adopted a new rule (the “Rule”) that amends Form PF, the confidential reporting form for certain SEC-registered...
June 23, 2023
The U.S. Securities and Exchange Commission ("Commission") adopted amendments to Form PF ("Adopted Amendments"), the confidential reporting form for certain investment advisers...
May 30, 2023
The U.S. Securities and Exchange Commission (the SEC) adopted Amendments to Form PF (the Amendments) in a three-to-two vote on May 3, 2023, over a decade after Form PF’s initial...
May 18, 2023
On May 3, 2023, the U.S. Securities and Exchange Commission (SEC) adopted, by a vote of 3-2, amendments to Form PF (the "Amended Form"), the confidential reporting form for certain SEC-registered...
May 11, 2023
On May 3, 2023, the U.S. Securities and Exchange Commission (“SEC”) adopted amendments to Form PF, the confidential form by which certain SEC-registered investment advisers report...
November 1, 2022
In this issue, we cover regulatory developments impacting the investment management sector, including the Securities and Exchange Commission’s (SEC’s) focus on the annual 15(c) advisory...
August 25, 2022
On August 10, 2022, the US Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC) issued a joint proposal to amend Form PF, a reporting form for...
August 12, 2022
MFA says proposal will impair managers ability to deliver for investors.