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SEC Proposes Amendments to the Investment Company Names Rule

In a three-to-one vote on May 25, 2022, the U.S. Securities and Exchange Commission (the SEC) proposed amendments (the amendments) to Rule 35d-1 (the Names Rule) under Section 35(d) of the Investment Company Act of 1940, as...more

SEC Proposes Rules for ESG Disclosures and Amendments to the Investment Company Names Rule

In a three-to-one vote on May 25, 2022, the U.S. Securities and Exchange Commission (SEC) proposed two rules. The proposed rules for environmental, social and governance (ESG) disclosure would amend rules and forms to require...more

SEC Amends Offering and Registration Processes for Closed-End Funds and Business Development Companies

On April 8, 2020, the Securities and Exchange Commission (SEC) voted 3-1 to adopt certain rule amendments (the Final Rule) that will modify and streamline the securities offering and communication processes for business...more

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