Investment Company Act

News & Analysis as of

Disclosure and Compliance Matters for Investment Companies that Invest in Commodity Interests

The Staff of the Division of Investment Management of the SEC has published a Guidance Update with respect to Disclosure and Compliance Matters for Investment Company Registrants that Invest in Commodity Interests....more

SEC Eliminates Ban on General Solicitation in Private Offerings

On July 10, 2013, the SEC took the following actions that are likely to have a significant impact on hedge funds, private investment funds and other companies that raise capital through private offerings of securities...more

Division of Investment Management Issues Guidance on Filing Requirements of Communications Made in Social Media

On March 15, 2013, the SEC's Division of Investment Management (the "division") issued guidance on the filing requirements for electronic communications (i.e., chat rooms or social media). The division issued the guidance...more

SEC No Action Relief for Advisory Agreement Amendment Without Shareholder Approval

On February 27, the SEC Division of Investment Management granted no action relief to Emerging Global Advisors, LLC (EGA) and Emerging Global Shares Trust (Trust), allowing EGA to amend its investment advisory agreement with...more

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