Dalia Blass to Conclude Tenure as Director of the Division of Investment Management
Washington, D.C. (Newsfile Corp. - December 22, 2020) - The Securities and Exchange Commission today announced that Dalia Blass, Director of the Division of Investment Management, will depart the SEC in January after leading the Division since September 2017. Under her leadership, the Division finalized more than 70 regulatory initiatives affecting investment companies and investment advisers.
The Division of Investment Management s work is critical to ensuring that America s Main Street investors have access to high-quality investment opportunities from which they can make well-informed investing decisions. It has primary responsibility for administering the Investment Company Act of 1940 and the Investment Advises Act of 1940, which includes overseeing investment companies (e.g., mutual funds, closed-end funds, business development companies, unit investment trusts, variable insurance products, a
SEC: Dalia Blass To Conclude Tenure As Director Of The Division Of Investment Management - Under Director Blass s Leadership, The Division Undertook Numerous Initiatives Benefitting Main Street Investors Date
22/12/2020
The Securities and Exchange Commission today announced that Dalia Blass, Director of the Division of Investment Management, will depart the SEC in January after leading the Division since September 2017. Under her leadership, the Division finalized more than 70 regulatory initiatives affecting investment companies and investment advisers.
The Division of Investment Management s work is critical to ensuring that America s Main Street investors have access to high-quality investment opportunities from which they can make well-informed investing decisions. It has primary responsibility for administering the Investment Company Act of 1940 and the Investment Advises Act of 1940, which includes overseeing investment companies (e.g., mutual funds, closed-end funds,
Under Director Blass s Leadership, the Division Undertook Numerous Initiatives Benefitting Main Street Investors
FOR IMMEDIATE RELEASE Washington D.C., Dec. 22, 2020
The Securities and Exchange Commission today announced that Dalia Blass, Director of the Division of Investment Management, will depart the SEC in January after leading the Division since September 2017. Under her leadership, the Division finalized more than 70 regulatory initiatives affecting investment companies and investment advisers.
The Division of Investment Management s work is critical to ensuring that America s Main Street investors have access to high-quality investment opportunities from which they can make well-informed investing decisions. It has primary responsibility for administering the Investment Company Act of 1940 and the Investment Advises Act of 1940, which includes overseeing investment companies (e.g., mutual funds, closed-end funds, business development companies, unit
Statement On Recent And Upcoming Regulation Best Interest Examinations From The SEC Division Of Examinations, Division Of Examinations Staff Date
21/12/2020
[1]Regulation Best Interest established a new, substantially elevated standard of conduct under the Exchange Act for broker-dealers and associated persons of a broker-dealer (collectively “broker-dealers” or “firms”).[2] After Regulation Best Interest’s June 30, 2020 compliance date, the Division of Examinations (“Division”) (formerly the “Office of Compliance Inspections and Examinations”) launched examinations to assess the Regulation Best Interest implementation efforts of broker-dealers. Division staff has assessed the results of its initial Regulation Best Interest examinations and now that approximately six months have passed since the Regulation Best Interest compliance date, the Division intends to begin its next phase by conducting more focused examinations as outlined below beginning in Jan