On August 4, 2020, the Securities and Exchange Commission (SEC) Small Business Capital Formation Advisory Committee (Committee) held a public meeting (Meeting) by video conference. The Meeting was prompted by the Committee’s...more
On July 10, 2020, the Securities and Exchange Commission (SEC) announced that it has proposed to amend Form 13F and Rule 13f-1 to increase the reporting threshold for institutional investment managers (managers) and to...more
In April 2020, the Securities and Exchange Commission (SEC) approved rule change proposals of the three primary listing exchanges for exchange-traded funds (ETFs). The new rules extend automatic listing to all ETFs that are...more