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Spring Has Sprung for Recent Reg NMS Reporting Changes | McGuireWoods LLP

On March 6, the SEC released its long-anticipated adopting release amending Rule 605. Separately, in late February, FINRA issued Regulatory Notice 24-05 discussing new FINRA Rule 6151, . ....

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Investment Management Update August 2023

In this issue, we cover regulatory developments from the second quarter of 2023 impacting the investment management sector, including the following:… ....

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Investment Management Update - August 2023 | Skadden, Arps, Slate, Meagher & Flom LLP

Closed-End Fund Activism Update - Activist investors continue to take large positions in closed-end funds and engage in disruptive activity that may be harmful to. ....

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SEC Amendments To Share Repurchase Disclosure Rules Impact BDCs And Exchange-Traded Registered Closed-End Funds - Fund Finance

On May 3, 2023, the Securities and Exchange Commission ("SEC") adopted amendments to its existing rules regarding disclosures about purchases of an issuer's equity securities. ....

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SEC Amendments to Share Repurchase Disclosure Rules Impact BDCs and Exchange-Traded Registered Closed-End Funds | Proskauer Rose LLP

On May 3, 2023, the Securities and Exchange Commission ("SEC") adopted amendments to its existing rules regarding disclosures about purchases of an issuer's equity securities by or on. ....

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