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On May 25, 2022, the Securities and Exchange Commission (“SEC”) proposed amendments to rules and forms under both the Investment Advisers Act of 1940 (“Advisers Act”) and the Investment...
On May 25, 2022, the SEC proposed amendments to Rule 35d-1, the fund “Names Rule,” (Names Rule Amendments) and, separately, proposed amendments to several rules and forms that would...
Seven years ago, the Securities and Exchange Commission proposed rules that would direct the national securities exchanges and national securities associations to establish listing...
Securities and Exchange Commission proposed rules that would direct the national securities exchanges and national securities associations to establish listing standards that would require each issuer to develop policy providing the recovery and has reopened comment Period
Proposed Amendments by the U.S. Securities and Exchange Commission would significantly expand the scope of terms that the SEC considers materially deceptive and misleading in a registered investment company’s a fund name without a corresponding policy to invest at least 80%.