On August 23, 2023, the Securities and Exchange Commission (SEC) voted three to two (Commissioners Peirce and Uyeda dissenting) to adopt new and amended rules (Final Rules) under the Investment Advisers Act of 1940 (Advisers...more
8/30/2023
/ Audits ,
Clawbacks ,
Final Rules ,
Investment Adviser ,
Investment Advisers Act of 1940 ,
Private Funds ,
Quarterly Report ,
Recordkeeping Requirements ,
Registration Requirement ,
Securities and Exchange Commission (SEC) ,
Side Letters ,
Transparency
On May 3, 2023, the Securities and Exchange Commission (SEC) adopted final rules that significantly increase issuers’ disclosure obligations by requiring more detailed periodic disclosure about repurchases and issuer trading...more
On March 1, 2017, the Securities and Exchange Commission (SEC) voted to adopt final rule and form amendments to require issuers to include hyperlinks to each exhibit included in SEC filings. The same day, the SEC also issued...more
On October 26, 2016, the Securities and Exchange Commission (SEC) proposed amendments to the proxy rules to require parties in contested elections to use universal proxy cards that would include the names of all board of...more
11/1/2016
/ Board of Directors ,
Capital Raising ,
Director Nominations ,
Final Rules ,
Proposed Amendments ,
Proxy Access Rule ,
Proxy Voting Guidelines ,
Rule 147 ,
Rule 504 ,
Rule 505 ,
Safe Harbors ,
Securities and Exchange Commission (SEC) ,
Small Offering Exemptions ,
Transacting Intrastate Business ,
Universal Proxy