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Disclosure Requirements Institutional Investment

Proskauer Rose LLP

SEC Adopts New Short Sale Disclosure Rule

Proskauer Rose LLP on

On October 13, 2023, the Securities and Exchange Commission adopted new Rule 13f-2 to require monthly reporting of short sale positions and activity data on new Form SHO by institutional investment managers. The new rules...more

Seward & Kissel LLP

SEC Adopts Amendments to Increase Proxy Voting Transparency

Seward & Kissel LLP on

The Securities and Exchange Commission (SEC) recently adopted rule and form amendments (Amendments) under the Investment Company Act of 1940 to enhance the information that mutual funds, exchange-traded funds, and other...more

Blake, Cassels & Graydon LLP

Alberta Increases Access to Private Placements for Institutional Investors

By blanket order granted November 20, 2014, the Alberta Securities Commission (ASC) removed barriers to participation by institutional investors in private placements by foreign issuers by addressing three requirements that...more

Allen Matkins

Court Rules Private Fund Data Is Not A Public Record

Allen Matkins on

Private equity and venture capital funds like public pension fund money but they don’t necessarily like the consequences of having the government as an investor. As noted in this post, this was illustrated by Superior Court...more

Morgan Lewis

FINRA Formalizes Position on Pre-Inception Index Performance Data

Morgan Lewis on

Interpretive letter outlines the conditions for the use of exchange-traded product marketing materials containing pre-inception index performance, including disclosure requirements, performance presentation standards, and a...more

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