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On Friday, October 7, the Securities and Exchange Commission (SEC) reopened the public comment period for eleven proposed rules whose comment periods closed after March 21, 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...
The SEC recently announced that it is reopening comment periods on 11 rule proposals and one request for comment, including proposals related to SPAC projections, climate change...
SEC recently announced that it is reopening comment periods on 11 rule proposals and one request for comment, including proposals related to SPAC projections, climate change disclosure, and cybersecurity.
The SEC on Oct. 7, 2022, reopened the comment period for 11 rule making proposals, one request for comment and eight Self-Regulatory Organization…