Issuers must disclose daily quantitative share repurchase information on a quarterly or semi-annual basis depending on the type of issuer, but not after every repurchase as had been initially proposed -
Issuers must...more
5/15/2023
/ 10b5-1 Plans ,
Disclosure Requirements ,
Federal Register ,
Final Rules ,
Foreign Private Issuers ,
Policies and Procedures ,
Regulation S-K ,
Safe Harbors ,
Securities and Exchange Commission (SEC) ,
Securities Exchange Act ,
Stock Repurchases
Pursuant to new Rule 139b (Rule) under the Securities Act of 1933, the publication of a “research report” on “covered investment funds” by an unaffiliated broker-dealer will not be deemed an “offer for sale or offer to sell”...more
1/29/2019
/ Broker-Dealer ,
Commodities Traders ,
Covered Funds ,
Fair Access to Investment Research Act of 2017 (FAIR Act) ,
Financial Industry Regulatory Authority (FINRA) ,
Investment Company Act of 1940 ,
Investment Funds ,
Issuer Exemption ,
Offering Statements ,
Publicly-Traded Companies ,
Registered Investment Advisors ,
Research Reports ,
Rule 139 ,
Safe Harbors ,
Sales of Securities ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC)
The U.S. Department of the Treasury (Treasury) recently released a report examining the regulatory framework for the asset management and insurance industries (Report). The Report is the third in a series of four reports that...more
12/5/2017
/ Asset Management ,
CFTC ,
Department of Labor (DOL) ,
Derivatives ,
Dodd-Frank ,
Employee Retirement Income Security Act (ERISA) ,
Exchange-Traded Products ,
Federal Reserve ,
Fiduciary Rule ,
Financial Stability Board ,
FSOC ,
Insurance Industry ,
Investment Advisers Act of 1940 ,
Liquidity Risk Management Rule ,
Proposed Legislation ,
Proposed Regulation ,
Regulatory Burden ,
Retirement Plan ,
Risk Management ,
Securities and Exchange Commission (SEC) ,
SIFIs ,
Stress Tests ,
Systemic Risk Buffer ,
U.S. Treasury ,
Volcker Rule
President Trump signed into law on October 6, 2017 the Fair Access to Investment Research Act of 2017. The Act directs the U.S. Securities and Exchange Commission (SEC) to amend Rule 139 under the Securities Act of 1933 (1933...more
The staff of the U.S. Securities and Exchange Commission (SEC) Division of Investment Management (Staff) published a Guidance Update on January 6, 2016 related to mutual fund distribution and sub-accounting fees. In the...more