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Each year, the SEC’s Division of Examinations (the “Division”) releases its priorities for the upcoming year, providing SEC registrants with a helpful tool to assist in managing,...
SEC’s Division of Examinations last week announced its 2023 examination priorities. The division’s annual announcement of priorities provides valuable insight into categories of registrants most likely to be subject of SEC examination and issues most likely to be focus of examinations.
The SEC’s Division of Examinations last week announced its 2023 “examination priorities.” The division’s annual announcement of priorities provides valuable insight into the categories...
The Office of the Chief Accountant of the SEC's Division of Investment Management periodically issues "Dear Chief Financial Officer" letters to help registered investment companies...
Monday, April 19, 2021 On March 11, 2021, the staff of the SEC’s Division of Investment Management issued a statement soliciting industry feedback on the regulatory regime governing registered fund cross trading following the adoption of the new valuation rule in December 2020. Fund cross trades must be effected in accordance with Rule 17a-7 under the Investment Company Act. Absent further SEC staff guidance or SEC action, however, Rule 17a-7 may no longer be available for cross trades in fixed income securities beginning in September 2022, as a result of the new valuation rule’...