On November 13, 2023, FINRA filed with the SEC a proposal to amendment to Rule 2210 that would create a tailored exception from the general prohibition on projections in marketing materials and other communications with...more
11/29/2023
/ Financial Industry Regulatory Authority (FINRA) ,
Institutional Investment ,
Institutional Investors ,
Investment Company Act of 1940 ,
Marketing ,
Offering Communications ,
Proposed Amendments ,
Qualified Purchaser ,
Regulatory Agenda ,
Rule 2210 ,
Securities and Exchange Commission (SEC) ,
Securities Regulation
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